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AFS Licensee

Australian Financial Services Licences Audits

AFSL audits are easily the most heavily regulated audits our firm deals with and encompass both a financial audit and compliance audit component.

AFS licensees often provide a complex undertaking for AFSL auditors. Because they operate in a tightly regulated environment under ASIC and others highlighted in our AFSL Compliance Guide, these particular audits therefore require specialised audit experience, which are prevalent in our team of financial auditors and hard to find in other boutique audit firms.

There are a lot of niche aspects to providing a quality audit of an AFS licensee and it is essential that your financial auditors understand the complexities including the frequently changing regulations, which is knowledge only gained by experience and constant practice.

Why Choose Us For Your AFSL Compliance Audit

We tailor our financial and AFSL compliance audit approach to the unique circumstances and drivers of each AFSL and corresponding finance business we work with. A compliance audit on a single financial adviser is vastly different to that of a large investment fund.

Using the latest kind of software packages available to auditors, we can take the heavy lifting off your plate and give you an audit experience that is efficient, reliable and stress-free for you and your team members.

We give you complete peace of mind that your financial services business is above board and ticking the regulatory boxes. But even more than that, our team of auditors care deeply about the work we do alongside you and your business.

Our unmatched experience in the AFSL sector means we provide you with accurate information and actionable insights allowing you to make real changes to your business processes and feel confident in protecting your AFS licence. Get in touch with one of our professionals. 

Chat to a trusted independent auditor today

Want to book in a chat? Get in touch with one of our professionals!
Frequently Asked Questions
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