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Corporate

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Not-for-profit

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Clubs and Associations

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Trust Account Audits

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Schools

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AFS Licensee

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Strata Entities

Australian Financial Services Licence (AFSL) audit services

Whether you’re a sole financial adviser or managing a complex fund structure, holding an Australian Financial Services Licence (AFSL) comes with significant compliance obligations. At Allen Audit & Advisory, we specialise in audit-only services, offering tailored

and reliable solutions to keep your licence in good standing with Australian Securities and Investments Commission (ASIC).

What we do

We conduct both the financial audit and compliance audit components required for AFS licensees. Our audits are designed to meet all regulatory obligations while also delivering practical insight into your business operations.

With deep expertise in ASIC reporting requirements and the evolving regulatory landscape, we provide clarity, confidence, and continuity, especially valuable in a sector where missteps can be costly.

Who we work with

We tailor our approach to suit a wide range of AFS licensee structures, including:

  • Individual financial advisers and boutique AFSL holders
  • Financial services firms, asset managers, and investment funds
  • Corporate authorised representatives
  • Responsible entities, custodians, and trustee services

Every licence type comes with its own complexity, and we’ve worked across the spectrum.

Why AFSL audits matter

AFSL audits are about more than compliance. They help you:

  • Maintain your standing with ASIC and avoid penalties
  • Strengthen internal systems and governance
  • Identify gaps before they become issues
  • Build trust with clients, regulators, and investors

We work with you to make the audit process smooth and constructive, not just tick a box.

Why AFS licensees choose Allen Audit & Advisory

  • AFSL audit specialists with decades of relevant experience
  • Independent and audit-only, so there’s no conflict of interest
  • Deep knowledge of regulatory change, updated through constant training and direct engagement with ASIC guidelines
  • Fixed fees and clear deliverables so you can manage your schedule and reporting without surprises
  • Plain-speaking, responsive service—you’ll deal directly with the partner leading your audit

From onboarding to final submission, our process is structured, streamlined, and transparent.

Looking for a responsive, reliable audit partner?

Request a call or instant quote from our team
Frequently Asked Questions
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07 5503 1709
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