At Alexis, we review adviser client files to ensure compliance with ASIC Regulatory Guide 175, FASEA Standards, TPB, and your professional membership obligations.
We have significant experience in identifying breaches, assisting licensees to conduct thorough incident evaluation and, when required, collate the required information to prepare ASIC breach notifications.
Alexis Compliance will conduct compliance reviews either onsite at your office or offsite to ensure your business is complying with its obligations. Our Representative audits provide you with the opportunity to identify and improve areas of your process and procedures.
