Australian Financial Services Licensing (AFSL) Forum

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This topic contains 1 reply, has 2 voices, and was last updated by  Chris Wallace 8 years, 1 month ago.

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  • #3149 Reply

    Good evening all,

    The AFSL that I am employed by is seeking a Brisbane based AFSL compliance company to do some consulting for us to ensure we are FoFA ready.

    if you assist please contact me.

    #3160 Reply

    Hi Matthew,

    This forum is moderated by Holley Nethercote Commercial Lawyers (hnlaw.com.au).  We’re a law firm that specialises in Financial Services.  We also run a training business – Compact Compliance and Training (ccct.com.au). In our experience FOFA assistance normally falls into three categories.

    1. Conflicted remuneration

    2. Ongoing fee arrangements – Fee disclosure statements

    3. Reviewing personal advice delivery methods (processes, templates) in light of best interest duty etc.

    We’re Melbourne-based but have clients Australia wide.  We do not have a particular contact based in Brisbane to whom we would refer you.  If you think we can be of help, don’t hesitate to contact us via email (law@hnlaw.com.au) or drop us a line (03 9670 8200).

    Author: Andrew Ham

    Co-contributor: Chris Wallace

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