AFSL Compliance

At FYG, we’ve designed our compliance procedures with a “by planners, for planners” approach. This ensures our compliance procedures are are robust but user friendly. To ensure best practice and relevance, multiple industry compliance experts have conducted independent assessments of our compliance procedures. These assessments have shown them to be of the highest standard.

An FYG Planners staff member will visit each business under the AFSL on a yearly to undertake a formal compliance audit. We also conduct remote compliance assessments using Skype and screen sharing applications to increase interaction and AFSL familiarity. While in each half financial year advisers conduct self assessment compliance audits.

Our dedicated compliance team review all written advice after acceptance by clients. This ensures that all advice given to clients meets our high compliance standards.

FYG’s dedicated compliance support team is available every business day to assist advisers with compliance related advice.

Our compliance team has experience and has access to senior management on a daily basis. This ease of access ensures prompt attention and practical, well researched solutions are offered on all compliance matters.

Our Operational Compliance and Adviser Services Manager will liaise with any Adviser where compliance errors, oversights or omissions have been identified. This is done in a collaborative and co-operative manner in order to improve Adviser understanding.

If you’re looking for an AFSL with compliance that’s robust and user friendly give us a call on 03 6440 3555.

Or learn more about FYG’s management team.