Ongoing Support

Bardins provides ongoing external compliance support for our clients. This establishes an ongoing and reliable safety net ensuring adherence to changes in legislation.

Bardins assumes a role in monitoring and facilitating outsourcing policies encapsulating all of the relevant ASIC Proofs and Regulatory Guides, specifically tailored to your business operations and licence authorisations.

We advise, monitor and supervise Authorised Representatives in relation to their obligations under Corporations Act, AFSL compliance requirements consistent with RG104, general obligations, RG105 organisational competence, RG166 financial requirements, legislative and internal policy requirements.

Main Webiste Compliance Management Ongoing Support

Role of Bardins

  • Record Minutes of the meeting
  • Monitor Solvency and NTA Calculations under RG166
  • For MIS purposes, maintain a 12-month rolling cashflow forecast
  • Keep Policies required by the business operations updated
  • Maintain Registers Covering:
    • Training
    • Breaches
    • Complaints
    • Gifts & Benefits
    • Conflict of Interest