We offer a unique combination of regulatory and compliance advisory and consulting services. As the finance and credit industry faces increasingly complex challenges associated with changing regulations, we assist in assessing and controlling risks and ensuring that regulatory compliance strategies are in place to mitigate compliance risks. We advise on varied and complex issues specific to the financial services and credit industry and provide a range of solutions to ensure ongoing compliance with regulatory regimes.
We have extensive industry experience advising on compliance issues and have experience in designing and implementing compliance frameworks, operationalising compliance processes and controls and assessing and mitigating organisational compliance risks.
Our expertise:
Evaluating current compliance operating model, reporting on findings and making recommendations
Designing compliance frameworks, including implementing compliance management systems, processes and documentation that outlines relevant laws, industry codes, standards and best practices
Advice on compliance with banking, financial services and credit regimes, regulations, licencing conditions, codes of practice, prudential standards, regulatory guides and ASX listing rules
Preparing compliance calendars with reference to laws, tasks and dates to assist you with reporting and other obligations
Drafting charters or terms of reference for risk, compliance and audit committees and assistance with compliance reporting
Preparing advertising & marketing guides on legal regulatory compliance
Advice on M&A transactions, due diligence and post-completion regulatory compliance
Advising on directors duties and rights, indemnification and insurance
Global company secretariat assistance (minutes, agendas, resolutions, event planning, notifications and regulatory filings)
Dealing with ASIC, AUSTRAC, AFCA and other regulators and assisting with regulatory investigations
Providing off the shelf compliance agreements and policy templates for in-house counsel
Contact us today to find out more about the regulatory compliance services we provide on 1800 965 990 or info@cocounsel.com.au.