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