PO Box 206, Yarraville
Victoria 3013		   T: 61 3 9689 1186
F: 61 3 9689 1381		   contact@knowcompliance.com.au  
    About Us ::: How We Work ::: Our Services ::: The Team  
                   
    Compliance Management
 Regular compliance reviews and compliance audits and reporting, compliance meetings, compliance training.

Applications
AFS licences, prospectus and PDS, development and review of scheme documents, applications for relief from licensing requirements.

   Fundraising
Preparation and due diligence of prospectuses, product disclosure statements and information memorandums, review of advertising brochures, website material and supporting documents.

ASIC Regulatory Action
Surveillance, investigations, licence hearings, undertakings and expert reports.

   Risk Management
Risk management systems, risk review program, mock licence surveillance visits, risk management training.

Operational Procedures
Development of policies and procedures that reflect actual operations and meet regulatory requirements.

   Advisory Services
External auditors and audits, application of the relevant laws, impending regulatory changes and potential impact on business and licence

Shadow Shopping
Independent assessment of authorised representatives, quality of services and improvement of customer service

  
           
           
           
           
           
    © 2006 Know Compliance // A Division Of Beronara Pty. Ltd. ABN 97 006 806 604 // contact@knowcompliance.com.au