Overview of services - License Support

Paragem provides value-adding license support services.  License support services include application for an AFSL, compliance services and professional development services.

Australian Financial Services License (AFSL)

• Support for the application of an AFSL

Compliance

• Dealers license support including business documentation reviews, license auditing and compliance guidance
• Field reviews of representatives acting in representative roles such as adviser and paraplanner
• Policy and procedures guidance, development and implementation
• Legislative documentation maintenance and management
• Operational compliance management and support
• Insurance facilitation and support

Professional Development

• Professional development programs to support the provision of quality advice to clients and meeting regulatory requirements and industry standards
• Induction programs and management improvement for compliance and licence and compliance integrity
• Professional development days and conferences, either on or off site, for business, operations or compliance development
• Strategy workshops for developing business systems and processes, and growth and succession planning services
• Ongoing competency assessment and support