Compliance First International

Compliance and Regulatory services Compliance First International Pty Ltd have extensive experience and success in all aspects of compliance and regulatory services. Our associates and executive hold ongoing national consulting and advisory mandates. Compliance First holds an enviable record of 100% success rate of all types of applications for Australian financial services licenses for our clients. Our services include: • Fund management advisory and regulatory services • Disclosure document drafting and provision of verification and due diligence project management • Independent member/chair of compliance committees • Set up and ongoing management of compliance committee process and reporting • Licensee quarterly compliance obligations and reporting • Provision of policy and procedures templates and advice in licensee regulatory and reporting obligations • Ongoing compliance and reporting services for quarterly and year end processes • Responsible manager / key person services for Australian financial services licensees • Project manages the development of new investment funds • Establishment of funds management businesses • Provides consulting services on sale and purchase of licensees including due diligence methodologies and change of control Our services are delivered on time, professionally and in a cost effective and compliant manner. Our expertise includes advisory services to other responsible entities, trustees and fund managers in all aspects of funds management.