Licensing, compliance and capital raising support
We help financial advice firms and fund managers operate compliantly, and help fund managers and private companies raise capital. Our services operate on a wholesale basis. Choose your type of business to see what applies.
Financial advice firms
Authorisation, compliance support and the flexibility to offer broader investment services within your agreed authorisation.
- Authorisation and onboarding
- Compliance support
- Ongoing oversight
Fund managers
A turnkey solution for Australian and offshore fund managers, covering compliance, distribution and capital raising in Australia.
- Compliance arrangement and local support
- Sales and marketing collateral
- Distribution and capital raising
Private companies
Capital raising support for private companies, with introductions to suitable institutional and wholesale investors.
- Introductions to capital providers
- Materials and capital raising approach
- Investor engagement
Support at every stage of your business
The services that apply depend on your business and are confirmed in writing before we begin.
Assessing suitability and establishing the agreed arrangement
We assess whether your business is suitable for appointment as a Corporate Authorised Representative under our licence and, if it is, support you in establishing the arrangement.
- Assessment of your business, services and people
- A written agreement covering scope, conditions and responsibilities
- Your Financial Services Guide and templates (as required)
Practical support with your obligations
Practical guidance to help you understand and meet the obligations that apply to your authorised activities.
- Access to our policies and procedures
- Guidance on questions as they arise
- Updates when relevant requirements change
Oversight of the agreed arrangement
Monitoring and review within the agreed authorisation and compliance framework, as required of us as licensee.
- Periodic review of authorised activities
- Monitoring of records and reporting
- Follow-up on any issues identified
Materials that present your business or fund
Help preparing the collateral and content used to present your business or fund to prospective investors.
- Presentation materials for your business or fund
- Information Memorandum preparation and review
- Consistent messaging across your materials
Reaching suitable investors
Developing a distribution approach and engaging suitable investors to support your capital raising.
- A distribution and investor engagement plan
- Introductions to suitable institutional and wholesale investors
- Access to our network of high-net-worth investors, family offices, fund managers and other private capital providers
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01
Authorisation and onboarding
Assessing suitability and establishing the agreed arrangement
We assess whether your business is suitable for appointment as a Corporate Authorised Representative under our licence and, if it is, support you in establishing the arrangement.
What it involves- Assessment of your business, services and people
- A written agreement covering scope, conditions and responsibilities
- Your Financial Services Guide and templates (as required)
-
02
Compliance support
Practical support with your obligations
Practical guidance to help you understand and meet the obligations that apply to your authorised activities.
What it involves- Access to our policies and procedures
- Guidance on questions as they arise
- Updates when relevant requirements change
-
03
Ongoing oversight
Oversight of the agreed arrangement
Monitoring and review within the agreed authorisation and compliance framework, as required of us as licensee.
What it involves- Periodic review of authorised activities
- Monitoring of records and reporting
- Follow-up on any issues identified
-
04
Sales and marketing collateral
Materials that present your business or fund
Help preparing the collateral and content used to present your business or fund to prospective investors.
What it involves- Presentation materials for your business or fund
- Information Memorandum preparation and review
- Consistent messaging across your materials
-
05
Capital raising and distribution
Reaching suitable investors
Developing a distribution approach and engaging suitable investors to support your capital raising.
What it involves- A distribution and investor engagement plan
- Introductions to suitable institutional and wholesale investors
- Access to our network of high-net-worth investors, family offices, fund managers and other private capital providers
Before you begin
What our compliance support covers
We help you understand your obligations and put practical processes in place to meet them, with each party’s responsibilities set out in your agreement.
How fees are set
Fees depend on the services and scope. Arrangements may include fixed fees, percentage-based fees or a combination, and compliance and capital raising engagements can be structured differently. The structure is agreed in writing with each client.
Find out what would apply to your business
A consultation lets us understand your business and explain which services may apply.
Book a consultationUpdates from AFSL Management
News and insights on regulation, licensing and capital raising.