Compliance and Regulatory Audits

Your organisation’s goals and aspirations are more readily achievable when operating within the relevant laws, policies and regulations.

The complexities of regulatory compliance require expert navigation. Our team will guide you through this evolving and ever changing environment to ensure you fulfil your compliance obligations. Any incidences of non-compliance will be identified and allow you to strengthen your organisation through proactive measures including best practice, training and internal controls.

An independent audit and review gives integrity to the information, systems and processes under review, adding value and strength to your organisation. We identify opportunities to improve, and communicate cost effective recommendations by leveraging our industry and technical insights. Our approach is fresh and focused on continuous improvement.

When you engage with our highly skilled audit team will ensure regulatory compliance with financial and non-financial reporting requirements, and the effective and strategic management of regulatory risk.

We will identify compliance that’s consistent with your commercial objectives. Better information means better decisions. Compliance and regulatory audits assist you to enhance governance processes, better balancing the interest of your stakeholders.

We offer expertise in:

  • Trust audits for accountants, legal and real estate agents;
  • Australian Securities and Investments Commission financial service licensees (AFSL);
  • Compliance plans whereby a structured and systematic process identifies the risks of non-compliance and establishes measures designed to meet these risks;
  • Superannuation Industry (Supervision) Act (SIS) regulations;
  • Travel Agent Returns;
  • Grant Acquittals.

Key Contact

Phil Swaffield

Phone: 1300 734 707