Ariel & Associates provide a range of services to its clients and can assist in the following areas:
Compliance procedures, policies and manuals.
Compliance validations, assessments and risk monitoring.
Compliance outsourcing.
Compliance “health checks”.
Corporate Governance.
Independent and external compliance counsel.
Australian Financial Services Licence applications and variations.
Adherence with legislative obligations relating to holders of an Australian Financial Services Licence, in particular, the requirement to maintain sufficient organisational capabilities and resources.
Advice and assistance to comply with the Anti-Money Laundering and Counter-Terrorism Financing (“AML/CTF”) Act 2006 (Cth), in particular, Know-Your-Client (“KYC”) principles, due diligence and customer acceptance.
Drafting AML/CTF Programs.
Undertaking an Independent Review of a Reporting Entity’s existing AML/CTF Program.
Instilling a culture of compliance.
Attendance on Compliance Committees.
Training.
Company Secretarial.