Confidence in Compliance.
Regulators are powerful. Compliance is critical.
We offer a practical, timely, and tailored approach to compliance that empowers our clients to get on with business. From AFSL and ACL licensing to assisting with all the required plans and reports, our compliance team is adept at streamlining and making it effective.
A prudent process.
There is an ever-increasing regulatory and legal burden on financial services businesses.
Keeping compliance in check is critical to your business's functioning and well-being. Effective compliance is about avoiding regulatory traps and business costs, which can easily befall businesses with poor processes.
AFSL and ACL compliance
Funds management compliance
Compliance policy drafting, frameworks, plans, reports and audits
Document and other review
Corporate compliance
Compliance committee meetings and facilitation
Investigations
Regulatory change management
"Financial services are highly complex, from licensing to ongoing product and service management, so it helps to have experience in your corner. At Rayne, we are well-versed in deciphering complex regulations and developing solutions that balance regulator expectations with innovation. We strive for efficiencies (in costs and operations) wherever possible, so we work to improve or establish frameworks and systems with business integration and optimisation in mind.
Compliance is a verb—a continuous effort leveraged to improve the business overall."
Common Compliance FAQs
Yes, we can. We can develop a compliance framework that is bespoke to your business, products, and services, or we can work with your existing compliance frameworks to create improvements and efficiencies.
We provide regulatory change management services including monitoring for regulatory change and updating your compliance frameworks or providing project support. Ask us how we can help, and we will discuss a suitable engagement with you.
Starting a new business is the best time to get your compliance house in order. Sustainable growth is easiest achieved on solid foundations. We assist by developing and implementing an integrated compliance framework that creates efficiencies.
We provide services in all financial services regulatory compliance aspects, from internal audits and investigations to compliance framework development and implementation to sitting on a compliance committee.
As an AFSL or ACL holder or a reporting entity, you are required to have adequate measures in place to ensure compliance with your licensee, registration, and legal obligations. In our experience, an effective compliance framework can support your legal obligations and create efficiencies (both cost and operational) to enhance all business practices.
