Australian Financial Services Licensee Audits

Australian Financial Service Licensees have annual and continuous reporting obligations to the Australian Securities and Investments Commission (ASIC).

We audit the financial statements of AFS licence holders to ensure they comply with Australian Accounting Standards and we also report on the operating effectiveness of specified internal processes and control of required accounts. We also review ongoing calculations, assumptions and projections prepared to ensure the AFSL has sufficient financial resources to comply with the conditions of the licence. We have specialist knowledge in-house to ensure our audits are conducted efficiently, focus on risks of material misstatements, areas of significant breaches and follow guidance statement GS003 issued by the Auditing and Assurance Standards Board.

Our AFSL clients include, but are not limited to, responsible entities, mortgage and insurance brokers and other entities who provide financial advice to wholesale and/or retail clients. We also audit registered managed investment schemes to ensure their reporting obligations under the Corporations Act are met.

Our audit fees are very cost effective given our size and extensive knowledge base.

Would you like to talk more about AFSL audits?

Tania Conlin

Member of the Chartered Accountants of Australia and New Zealand (CA)
Registered Company Auditor
Graduate Diploma in Finance & Investment
Bachelor of Commerce (Accounting & Finance)

(08) 9362 5855

Email Tania Conlin
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