Maintenance & Monitoring of Your Licence
Tailored compliance support to protect your licence
We deliver tailored support to ensure your AFSL/ACL remains compliant with current regulations. Our service is designed to help you achieve continuous compliance, support your internal governance framework, and stay ahead of regulatory changes. This includes comprehensive policy maintenance, expert internal audits, participation in governance meetings, and strategic compliance guidance.
Benefits of Our Maintenance & Monitoring Service
Expert Internal Audits & Breach Guidance
Thorough audits and expert advice on managing and reporting breaches.
Updated Procedures & Documents
Continuous updates to ensure all documentation aligns with current laws and best practices.
Reduced ASIC and Reputational Risk
Proactive compliance support to avoid enforcement actions and reputational damage.
Our 5-Step Maintenance & Monitoring Process
Review & Audit
Regular reviews and audits of internal processes and documentation.
Committee Support
Participation and guidance during compliance and governance meetings.
Document Management
Ongoing management and updates of critical compliance documentation.
Training & Alerts
Provision of compliance training and regulatory update alerts.
Reporting & Remediation
Assistance with breach reporting and remediation planning.
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
Ensure Your Licence Stays Compliant
Contact our compliance experts for ongoing support tailored to your business model.