AFSL & ACL Review Services
In-depth audits to assess compliance and governance effectiveness
Our audit process assesses your licence governance, compliance frameworks, staff supervision, and service standards. This comprehensive service helps you meet ASIC expectations, identify critical compliance gaps, and evaluate your supervisory controls. We benchmark your business’s performance and provide tangible, practical steps to improve your operations and mitigate risk.
Benefits of Our Licence Review Services
Full Diagnostics
A comprehensive audit of your entire compliance environment, from documentation to execution.
Insight into Training and Process Gaps
Uncover shortcomings in staff knowledge and procedural consistency.
Tangible Recommendations
Actionable insights and solutions to address identified issues and enhance regulatory alignment.
Our 5-Step Licence Review Process
Scoping & Planning
Define the audit objectives, scope, and required resources.
Review & Interviews
Gather information through staff interviews and examination of internal processes.
Audit & File Reviews
Assess documentation, transaction records, and compliance practices.
Gap Analysis
Identify weaknesses and compare against industry benchmarks and ASIC standards.
Report & Recommendations
Deliver a detailed report with prioritised recommendations for improvement.
What Our Clients Say
I have known and worked with Cheyenne professionally for over 5 years. I have found her approach, experience and expertise to be of a very high standard. I have and would recommend her services to any licence holder.
Sean Preece
Chief Risk Officer – Yellow Brick Road
Cheyenne was a great help to us at a time where we needed a lot of flexibility in the role. Anything we threw at her was a ‘yes no problem’. Thanks Cheyenne.
Ronna Ludgate
General Manager Risk Solutions at Commonwealth Bank
Cheyenne is a dedicated, hard working compliance professional. She is one of our “go to” people for compliance contracting.
Jenni Erbel
Director, Strategic Outsource Solutions
Cheyenne is a person with a sound knowledge of the law as it pertains to Financial Planning and always made herself available to assist the Practitioners to properly interpret and apply the laws and use them to raise the standards of advice.
Bruce Henderson
Financial Planner
I have known Cheyenne for over 10 years and can highly recommend her work ethic and attention to detail. Many of my industry peers, who have been audited by Cheyenne, speak very highly of the way that she conducts herself in meetings, in sometimes difficult situations.
Kevin Wyld
Shareholder at Financial Simplicity and Director of CCUBE Financial Software Pty Ltd
I worked with Cheyenne during some tough times after the GFC and she was brilliant, thorough but fair.
Scott Heathwood
Director of Lifestyle Asset Management
Benchmark Your Compliance Today
Book an independent review to evaluate your licence performance and governance effectiveness.