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.