A documented governance structure your firm can stand behind. Built to hold up under ASIC scrutiny and internal review alike.
Not a document in a drawer. A live, maintained structure your firm can stand behind at any point.
Your framework is built to withstand scrutiny from ASIC, from your licensee, and from your own investment committee.
Every decision, every process, every review. Recorded and retrievable when you need it.
No theoretical frameworks that can't be maintained. Built around how your firm actually operates.
We build governance infrastructure from the ground up, or review and strengthen what you already have. Every framework is documented, practical and designed to hold up under scrutiny. We don't just write the policy. We help you run it.
Committee charter and governance policy
Decision log and audit trail
Conflicts register
Documented selection methodology
Review schedule and oversight cadence
Ongoing governance support
This service suits self-licensed practices and AFSLs that are operating without a documented governance framework, or firms that have one but know it wouldn't hold up under serious review.
If you are currently…
Structured, documented and designed to be maintained over time.
We assess your current governance position. What exists, what's missing, and where the exposure sits.
We build or rebuild the full governance structure. Charter, log, register, methodology and schedule.
We maintain the framework alongside you. Updating documentation, attending reviews and keeping governance current.
Every engagement begins with an honest assessment of where your firm is and where the pressure sits.
Both. We can build from scratch or assess and strengthen your existing framework. Most engagements start with a gap analysis to determine what’s needed.
A committee charter, decision log, conflicts register, documented selection methodology, review schedule and oversight cadence. Each is tailored to your firm’s structure and operations.
Typically four to eight weeks from initial review to completed documentation, depending on the complexity of your existing arrangements and the scope of work.
It’s designed to. ASIC’s 2025-26 Corporate Plan commits to surveillance of managed accounts governance. Our frameworks are built to meet that standard, though we can’t guarantee any specific regulatory outcome.