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Compliance products and consulting services
- Company Secretarial and Corporate Governance
- AFSL Compliance Services
- Licensing products
- Markets and Policy
1. Company Secretarial and Corporate Governance
- ASIC relationships
- ASIC Relationship
- Emergence are your ASIC Agency
- ASIC hearings management
- ASIC audit management
- Board meetings
- Committees
- Including compliance committees
- Governance
- Corporate & Association constitutional rework
- Trade Mark applications
- Association membership
Emergence focus:
- Micro businesses (SMEs)
- Financial Services companies
- Unlisted public companies
- Proprietary Companies
- Associations
Annual fixed price packages can be tailored to suit your needs
2. AFSL Compliance Services
-
Responsible
Manager appointment and training
- Authorised representatives appointment, compliance, and training
- Compliance committees
- Compliance plans
- Compliance manuals
- Compliance training
- External AFSL Compliance Reviews and Audits
- Risk Management
- AFSL Due diligence
- AML/CTF
programs,
training and
audits
Emergence focus: Derivatives and FX
- Energy markets including electricity, gas,
environmental/green
- Risk Management
- ISDA negotiations
- Product training
Emergence focus:
Funds Management
and MIS
- Specialise in wholesale funds
3. Licensing products
- AFSL
- Applications
- Variations
- Relief Applications
- Exemptions
- ASX
- ASIC
- Hearings
- Audits
- S30 requests
- Markets
- Australian Markets Licensing
- Derivatives
- Wholesale
- Energy
- Environmental
- Professional Standards
-
PSC Limited liability schemes
- Codes of Ethics/Conduct
- Complaints and Discipline systems
- Policy development in CPD, PI Insurance and compliance audit
- Compliance reporting,
audits
and
surveys
4. Markets and Policy
- PI group insurance
and Master
Agreement and DMF policy
- Australian Market Licence applications
- Market Design: Derivatives, Energy, Hunter River Salt market
- Markets simulation & training
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