Services

Risk Management Products

  • Risk Management Framework development and implementation
  • Risk and control identification workshop
  • Risk Management training
  • Risk Management Function for RSE licence holders 

Research Products

  • Provision of legislative, regulatory and industry updates 

Training Products

  • RG146 General Advice in Superannuation
  • RG146 General Advice in Superannuation (Refresher)
  • Online training – RG146 General Advice in Superannuation
  • Tailored Registrable Superannuation Entities (RSE) workshops on a range of compliance topics
  • Staff training – industry updates; risk awareness; compliance awareness; fraud; AML/CTF; ethics
  • Training plan development, monitoring and reporting (both staff and director) 

Compliance Products

  • Compliance Management Framework development and implementation
  • Compliance Program development, implementation and ongoing monitoring and reporting
  • RSE and AFS licence application and variations
  • AML/CTF Program development and implementation
  • Advice on superannuation related legislation e.g. SIS Act; Corporations Law, Privacy Law; AML/CTF Law
  • Breach, incident and complaint investigations
  • Liaison with Regulators on Trustees behalf
  • Development and maintenance of policies and procedures
  • Document due diligence checklists and reviews
  • Tailored policy or template development 

Internal Audit Products

  • Compliance auditing (Superannuation Prudential Standard testing)
  • Financial systems auditing
  • Operational Reviews 

Independent Reviews

  • Superannuation Prudential Standard required reviews
  • AML/CTF independent reviews (annual or triennial)
  • Triennial Independent Reviews as required by APRA

Would you like to know more?

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