For organisations with wholesale financial trading operations there are a range of national regulatory obligations. International obligations are also emerging following responses to the Global Financial Crisis.
We can assist your organisation with:
- Reviews of current compliance programs, staff practices, and monitoring and reporting
- Development of compliance programs for:
- Australian Financial Services Licence (AFSL)
- Anti-Money Laundering and Counter-Terrorism Financing (AML-CTF)
- Development of guidelines for trading staff under the requirements of the Competition and Consumer Act (CCA)
- Reviews of requirements under other nations’ obligations eg European Market Infrastructure Regulations (EMIR), USA Dodd-Frank Act
- Development of compliance monitoring and reporting
- Responses to regulator (ASIC, AEMC) proposals for regulatory change
- Support for Internal Audit
- Training of staff in compliance requirements