Start Ups

THINKING OF STARTING AN AFSL BUSINESS, THEN CALL US

Our service focuses on start-up and established AFSL holders. With more than 38 years hands-on experience managing financial services businesses we have the detailed knowledge that others don’t, this makes us unique.

We are unique because of our combination of hands on experience in establishing and growing investment management companies from scratch. We offer anyone contemplating creating their own financial services company or has already made that decision to do so, a complete end-to-end service. We are the epicentre for your AFSL needs.

What we offer you is a quick way to break into the serious end of the financial services market where we gained our experience, including senior roles at some of Australia’s largest financial services businesses.

THE OPPORTUNITY

As part of our consulting service, we can scope out the market opportunity with you. Having managed large and boutique financial services companies with ‘much skin-in-the-game’, we can estimate what your operating expenses are likely to be now and in the future.

THE FIRST CONSULTATION IS FREE

See the About Us page for further details.

WHOLESALE INVESTORS

If you are planning to attack the institutional market (e.g. Superannuation, investment platforms, charities etc.), we have all the policies, procedures and registrars contained in a library of over 300 documents. These are not templates for you to fill in. Rather, they are fully complete and successfully used to win institution mandates of more than $1bn.

We over an AFSL start-up a services, in particular a Library of over 300 policies and procedures as well as hands-on experience in completing due diligence questionnaires, industry questionnaires, regulator requirements, winning institutional investment mandates and so on.

We take these documents and tailor them to your specific needs. Obviously, this will save you and your team a great deal of time and money.

You will also need to be a signatory of the Principles for Responsible Investment organisation. We have created documentation that were rated A or better from a range of A+ to E.

We can keep you up to date with the changing emphasis of this organisation that represents over 2,800 signatories and many Trillions of dollars of funds under management of advice.

RETAIL INVESTORS

Our experience includes managing High Net Worth (HNW) Managed Discretionary Accounts (MDAs), unit trusts (i.e. commonly know as managed investment schemes) and pooled development funds.

We have expertise in the creation of new innovative products, attractive to retail investors. We have won the Victorian Government Innovation In Funds Management Award.

AFSL APPLICATION

If you decide to go forward with an application for an Australian Financial Services Licence (AFSL), we can work with your Lawyers to create a successful application.

Once the licence is awarded we will bring the polices, procedures that ASIC used as the basis to grant your licence ‘to life’. That is, we will embed them into your front, middle and back offices operations, in a way that ensures audit by ASIC, AUSTRAC, auditors, due diligence companies and clients will be successful

But we offer much more than these things to help you establish and grow you business.

This website outlines many of the ways we can assist them be successful.

WE OFFER A COMPLETE PACKAGE OF SERVICES TO START-UPS AND ESTABLISHED AFSL HOLDERS