Catherine Chandler

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Viewing 8 posts - 1 through 8 (of 8 total)
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  • Hi Charlie,

     

    Thank you for your post.

     

    Unfortunately, we do not have any Responsible Managers on our database who match your requirements.

     

    However, Paul Hill, from Moorgate Consultants, may be able to assist with your search for a suitable Responsible Manager. Moorgate Consultants is a recruitment agency that focuses on the financial services sector. Moorgate Consultants has access to an extensive and diverse talent pool, which includes Responsible Managers.

     

    You can contact Paul on (03) 9090 7333 or via email.

     

    When you have found a Responsible Manager for your start-up, we, at Compact Compliance & Training, can assist with any financial services licensing, compliance, and training requirements.

     

    Please feel free to contact us if you would like further information about our services.

     

    Author: Grant Holley (Partner)

    Co-contributor: Nicolette Tan (Law Clerk)

    in reply to: Can anyone recommend an independent expert? #5082

    Thank you for your question.

    Our financial services team is experienced in compliance and can provide independent reviews of compliance arrangements. Our on-site visits take between half-a-day and three days, depending on the nature and size of the business. We speak with key people in the organisation, and review office policies and procedures, as well as client files. We then typically make an assessment of your compliance arrangements in light of the AFSL conditions, obligations under the Corporations Act and Regulations, ASIC’s regulatory guides and industry best practice. We don’t just look at documentation – we strive to test how behaviours compliance lines up with procedural compliance.

    We are also able to conduct short-form “issue spotting reviews”.

    Sometimes, ASIC requires an AFS licensee to conduct a compliance audit using external compliance professionals. We have conducted reviews of this nature also.

    Click here to read further information about the compliance review services we provide, or feel free to contact our office to discuss further.

    Hi Bryon,

     

    Thank you for your question.

     

    Holley Nethercote/Compact do have access to a database of potential Responsible Managers that may be a match to your specific requirements.

     

    Please feel free to contact our licensing team, who would be happy to discuss with you your current and future needs in relation to your ACL, and where possible, assist putting you in touch with someone appropriate.

     

    Regards.

     

    in reply to: To Hire RM #4871

    Hi Wilfred,

    Thank you for your question.

    Holley Nethercote/Compact do have access to a database of potential Responsible Managers that may be a match to your specific requirements.

    Please feel free to contact our licensing team who would be happy to discuss with you your needs, and where possible, assist putting you in touch with someone appropriate.

    Regards.

    Our new Sydney office on Martin Place was recently launched on 1st July 2016!!  We are very excited about this opportunity to service our Sydney clients. 

    in reply to: ACL RM #4867

    Hi Lee,

    Thank you for your question.

    Holley Nethercote/Compact do have access to a database of potential Responsible Managers that may be a match to your specific requirements.

    Please feel free to contact our licensing team who would be happy to discuss with you your needs, and where possible, assist putting you in touch with someone appropriate.

    Regards.

    Our new Sydney office on Martin Place was recently launched on 1st July 2016!!  We are very excited about this opportunity to service our Sydney clients. 

     

    in reply to: Seek Responsible Manager #4808

    Hi Quang,

    Thank you for your question.

    Holley Nethercote/Compact do have access to a database of potential Responsible Managers that may be a match to your specific requirements.

    Please feel free to contact our licensing team who would be happy to discuss with you your needs, and where possible, assist putting you in touch with someone appropriate.

    Regards.

     

    Our new Sydney office on Martin Place was recently launched on 1st July 2016!!  We are very excited about this opportunity to service our Sydney clients.

     

    Hi Chaaban,

    Thank you for your question.

    Holley Nethercote/Compact do have access to a database of potential Responsible Managers that may be a match to your specific requirements.

    Please feel free to contact our licensing team who would be happy to discuss with you your needs, and where possible, assist putting you in touch with someone appropriate.

    Regards.

     

    Our new Sydney office on Martin Place was recently launched on 1st July 2016!!  We are very excited about this opportunity to service our Sydney clients.

     

    in reply to: Record form #3603

    Hi Sam,

    Compact – Compliance & Training has various templates and compliance manuals for financial services businesses that may assist you.

    You can check out our range at
    http://www.ccct.com.au.

    Glide over the SUPERDOCS tab for further information and see our range of products.

    If we can assist you further, please don’t hesitate to contact us on 03 9670 8056.

    Kind regards,
    Catherine Chandler

Viewing 8 posts - 1 through 8 (of 8 total)
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