Why Choose Us

Today’s financial institutions are faced with a myriad of complex, ever-advancing regulation, where the costs of non-compliance can result in loss of licensing, permanent reputational damage, personal liability or even the derailment of an entire enterprise. As a result, it is crucial that your business has robust, customised strategies to manage and mitigate risk.

At FS Reg, we are acutely aware that financial services businesses, now more than ever, require a holistic approach to operationalise regulation, governance, and integrity within their ranks

Financial Services Regulatory Compliance

Advice, policies and procedures covering the breadth of your compliance obligations under financial services law, maintained within the Corporations Act 2001 and other related regulation.

AML/CTF

Frameworks, policies and procedures for compliance with the AML/CTF Act 2006 and related regulation.

Anti-bribery and corruption

Building and administering frameworks for the management and mitigation of conflicts of interest, bribery and corrupt practices.

privacy and data protection

Creation and implementation of frameworks to manage compliance with the APPs under the Privacy Act 1988, the Spam Act 2003 and related regulation.

corporate GOVERNANCE

Administration of board and shareholder’s meetings, maintenance of corporate registers and making required corporate lodgements, as well as appointing one of our team to act as your statutory company secretary.

independent health checks

Targeted and independent reviews for compliance with specific regulatory regimes and industry best practice.

Who We Help

FX brokers and remittance firms

Crypto-asset funds and brokers

Fin-tech firms

Trading firms, brokerages, and market participants

Funds management firms

Testimonials

‘A highly knowledgeable, client-friendly and diligent service, in which we had full confidence when managing our Australian regulatory and compliance obligations.’
Matthew Cook, Head of Legal - Moneycorp
‘The attention to detail, breadth of the analysis, and consequent recommendations to manage our responsibilities under the AFS license were reassuring to say the least. Additionally, the implementation of the on-going training programmes ensure that this has been more than a ‘box ticking’ exercise, and will keep us current and compliant with what is increasingly a complex reporting environment."
Derek Mumford, Director, Rochford Capital

GET A CALL BACK

Let's talk about how we can help you. Fill out the form and we will contact you as soon as possible.

Latest news

image
14 Apr

The extension of the AML/CTF regime to gatekeepers

The Labor party is considering more stringent anti-money laundering and counter-terrorism financing (AML/CTF) laws, including…
image
16 Nov

Increased penalties under proposed privacy legislation amendments

In response to the high-profile Medibank and Optus data breaches in recent weeks, the Albanese…
image
09 Sep

‘True to Label’ remains a priority for ASIC

On 8 September 2022, the Australian Securities and Investments Commission (ASIC) has reported on its…
See More