Wright Compliance Management is able to assist in an array of compliance related areas with consulting and advisory services that may include:
- Consulting to implement recommendations raised and agreed upon from previous audits and reviews;
- Drafting and lodgement of Australian Securities and Investment Commission (ASIC) reporting and notifications including auditor, representatives, AFS Licensee changes, EDR Schemes and CPD reporting;
- Liaising with regulatory bodies including ASIC, Australian Financial Complaints Authority (AFCA), Tax Practitioners Board (TPB) and the Insurance Brokers Code Compliance Committee (IBCCC);
- Liaising with other AFS Licensees, professional bodies and service providers;
- Assisting with the review of business documentation including client correspondence, advice and disclosure documentation, policies and procedures, agreements and cross-endorsements;
- Assisting with the managing and co-ordinating the resolution of any received complaints, disputes and breaches;
- Updates relating to changes in new legislative or best practice requirements deemed to be of significance;
- Project management of internal compliance projects;
- Reviewing and updating compliance policies and procedures;
- Compliance related training, including customised training development relevant to business needs;
- Ad hoc meeting, email, video-conferencing or telephone contact; and
- Any other compliance-related activities as requested.