APSEC Compliance & Administration

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Compliance

Compliance and Advisory Services

APSEC Compliance & Administration prides itself on have a quality advice programme that is second to none in the financial planning industry. As such, we manage a structured and disciplined representative compliance programme that provides the necessary guidance to handle the complex regulatory requirements of the market we operate within.

With the financial planning industry being governed by the Corporations ACT and regulated by the Australian Securities and Investments Commission, having access to a professional team that can provide expert advice on complex compliance issues and assist you in ensuring you meet your regulatory and advice compliance requirements is a major benefit.

APSEC Compliance’s state based compliance specialists provide you with guidance and support to assist in providing high-quality advice to your clients. The APSEC Compliance compliance programme includes access to:

Professional Business Practices Manual

This online manual is a valuable reference resource for you on administrative procedures and policies. This ensures you have timely access to information required to meet your regulatory requirements.
Topics include:

bullet ASIC regulatory requirements.

bullet The financial planning process.

bullet Identify standards.

bullet Disclosure documents.

To find out how APSEC Compliance can offer you support with a comprehensive training and professional development programme, contact our office on 02 8356 9356.

APSEC Compliance allows you to concentrate on building your business by delivering the complete support and service you need.

Disclosure documents

A number of standard disclosure documents are available through APSEC Compliance Management, catering for all types of advice and charging methods. The documents include Financial Services Guides, client questionnaire, disclosure of fees and commissions and disclaimers.

Quality Advice Reference Guide

The Quality Advice Reference Guide is a plain English guide to financial advice and has been designed to help reduce the size of Statement of Advice (SoA) templates. The guide covers the main elements of finan cial planning including in formation on superannuation, estate planning, social security and insurance.

One of the benefits of this guide is that it eliminates much of the generic information contained in SoA templates.

Quality Advice Fundamentals

Quality Advice Fundamentals are an excellent resource that we produce when we wish to highlight important regulatory or legislative changes that will impact our financial advice network.

Telephone Support

Compliance and advisory services staff are available to provide support in relation to complex legislative and regulatory issues, including the Financial Services Reform Act and the Corporations Act.