Authorisation and compliance support for financial advice firms
Operate your advice business as a Corporate Authorised Representative under our licence, with practical compliance support and the flexibility to offer broader investment services to your clients.
Book a consultationAdvice firms that want support and room to grow
- Established advice firms seeking a licensing arrangement that suits how they operate
- Advisers setting up their own advice business
- Firms considering a change of licensee, with the move managed step by step, including ASIC and Financial Advisers Register updates
Compliance support with the flexibility to grow
Authorisation and onboarding
We assess suitability and, if approved, appoint your business under our licence on agreed terms.
Compliance support
Practical help with the policies, requirements and obligations that apply to personal advice.
Ongoing oversight
Monitoring and supervision of authorised activities, as required of us as your licensee.
A flexible investment framework
Support for providing broader investment services to clients, within your agreed authorisation and our compliance framework, rather than a rigid approved product list.
Set up and supported from the start
- A written agreement covering your authorisation, conditions and responsibilities
- Authorising your advisers and notifying ASIC, including Financial Advisers Register updates
- Your Financial Services Guide and advice templates (as required)
- Policies and procedures to follow
- Regular reviews of advice files
- Updates on regulatory changes and support with training
From first conversation to ongoing support
- 01
Initial consultation
We get to know your business, your clients and how you like to operate.
- 02
Suitability and compliance assessment
We review your business, people and systems against our licence scope and requirements.
- 03
Approval and agreement
If suitable, your authorisation, conditions and responsibilities are agreed in writing.
- 04
Authorisation and onboarding
We authorise your advisers and put the relevant policies and records in place.
- 05
Ongoing support and oversight
We provide compliance support and oversight for the life of the arrangement.
Talk to us about your advice business
We will explain how an authorisation arrangement would work for your firm and what it would include.
Talk to our teamHow fees are agreed
Fees depend on the scope of your authorisation and the support your business needs. They may be fixed, percentage-based or a combination, and are set out in your written agreement before you are appointed.