Compliance Consulting

As each month goes by, there are more headlines related to the failure of licensees to adequately monitor and supervise their authorised representatives.

The cost of this failure to the client can be devastating.

Our compliance consulting approach is to identify the weaknesses in your advice and supervision model; then  provide you with feedback to improve and enhance.

We specialise in:

  • policy writing and standards setting
  • investigations
  • change management
  • project management

We align our output to relevant ASIC Regulatory Guides; your AFSL requirements; and to your professional indemnity insurance requirements.

Our pricing model is:

  • to provide services at a daily rate
  • a fixed price retainer to develop a project plan for the work to be undertaken
  • weekly reporting on progress and invoicing

RG146 training

We are not a registered Training organisation. However we have developed skills and expertise in delivering fast paced training aimed at achieving RG 146 compliance. Combining a mix of industry expertise and must know competencies, our presentation style is one of engagement and interaction with the participants.

We can utilise which ever RTO's materials you decide to choose, and have experience with Deakin Prime materials; Kaplan materials; and Monarch Institute materials.

Whilst no group is too small and no group is too large, we have identified that groups of less than 20 enable a quality level of engagement.

Our pricing model is:

  • to provide services at a daily rate
  • to deliver a fixed price services over an agreed timeframe
  • 5 day cancellation penalty fee of one day of the daily rate
  • travel and accommodation costs charged as an extra


 

J Diggle and Associates

Steamer Enterprises Pty Ltd trading as J Diggle and Associates

ABN 71 103 925 935

Australian Financial Services Licence No. 39254.

 (C) Steamer Enterprises Pty Ltd trading as J Diggle and Associates 2018

All Rights reserved.

 

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