Navigate Australian Financial Services Licence (AFSL) licensing and compliance.
Expert guidance through AFSL licencing and ongoing regulatory compliance to keep your financial services business operating legally and confidently.
Achieve regulatory compliance and operate legally in financial services.
Protect your business from regulatory penalties and reputational damage.
Build trust with clients through demonstrated regulatory compliance.
Expert AFSL licencing guidance from application through to ongoing compliance.
You need an Australian Financial Services Licence to operate legally, but the regulatory maze is overwhelming and the stakes are high. ADLV Law will guide you through every step of AFSL licencing, from initial applications to ongoing compliance obligations, ensuring you meet all ASIC requirements. You can focus on growing your financial services business with complete confidence, knowing your regulatory obligations are handled by experts who understand both the law and your business.
Start your AFSL journey today.
Schedule a consultation with our experienced financial services lawyers to discuss your licencing needs and compliance strategy.
Don’t let regulatory complexity stop your financial services success.
You know how AFSL requirements are incredibly complex, with hundreds of pages of regulations, strict ASIC expectations, and severe penalties for non-compliance that can destroy your business overnight?
Well, we specialise in cutting through that complexity with clear, practical advice from lawyers who have guided hundreds of businesses through successful AFSL applications and ongoing compliance programs. So that you can operate your financial services business with complete confidence, serve your clients effectively, and sleep soundly knowing your regulatory obligations are properly managed.
Financial services businesses should be focused on helping their clients achieve financial success, not drowning in regulatory red tape.
It’s simply wrong that innovative financial professionals spend more time worrying about compliance than serving their clients. Good operators shouldn’t be driven out of the market by regulatory complexity while bad actors find loopholes. The system should protect consumers without crushing legitimate businesses under bureaucratic burden.
You’re a financial services professional who genuinely wants to help clients achieve their financial goals. You have expertise, integrity, and a vision for your business. You’re facing a mountain of AFSL requirements: applications, RG documents, compliance manuals, breach reporting, training requirements, and ongoing obligations that seem to change monthly. Every decision carries regulatory risk, and one mistake could mean massive penalties or losing your licence entirely. Meanwhile, you’re watching competitors operate while you’re stuck in regulatory limbo. Potential clients are going elsewhere. Your business dreams are on hold. The fear of getting it wrong is paralysing your growth.
Operating without AFSL compliance isn’t an option.
You need to provide financial services or products in Australia, which means you need an AFSL or authorised representative status. The regulatory framework is complex, constantly evolving, and unforgiving of mistakes.
Without proper AFSL licencing and compliance:
- ASIC can impose penalties up to $1.11 million for corporations;
- Personal liability for directors and responsible managers;
- Criminal charges for serious breaches;
- Business shutdown and prohibition orders;
- Reputational damage that destroys client trust;
- Personal banning from the industry; and
- Civil penalties and compensation orders.
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Your complete AFSL compliance solution.
We eliminate the anxiety and uncertainty of AFSL compliance by providing clear, step-by-step guidance from lawyers who understand both the regulatory requirements and your business objectives. We handle your AFSL application process, develop comprehensive compliance frameworks, provide ongoing regulatory support, and ensure you meet all ASIC obligations – from initial licensing through to annual compliance certificates.
With your AFSL properly established and compliance systems running smoothly, you’re free to focus on what you do best: serving your clients and growing your financial services business. You operate with confidence, knowing expert advisors are monitoring regulatory changes and keeping you compliant.
Your AFSL success pathway.
From application to ongoing compliance – your trusted AFSL regulatory partner.
Step 1
Initial assessment
We review your business model and regulatory requirements to determine the right licensing structure and compliance obligations for your specific situation.
Step 2
Application and documentation
Our team prepares your comprehensive AFSL application, including all core documents, compliance procedures, and ASIC submissions to maximise approval chances.
Step 3
Implementation and training
We help implement your compliance framework, train your team on their obligations, and establish monitoring systems to maintain ongoing compliance.
We understand the frustration of wanting to serve your clients while being held back by regulatory complexity.
We know what it feels like to face ASIC requirements that seem designed to confuse rather than clarify. Like you, we’re frustrated by regulations that seem to punish good operators while missing actual bad actors. We know that every day without proper licensing is a risk to everything you’ve built. We are aware of the sleepless nights caused by regulatory uncertainty and compliance concerns. We care about your business success and your ability to serve clients without regulatory fear.
Our Great Lawyer Guarantee
We want to be part of your team over the long term. We’ll achieve this by sticking closely to the following key principles
Take the time
Work as a team
Shared knowledge
Stick to our knitting
Transparent pricing
It's your show!
Transparent AFSL licensing investment.
We’ll provide you with a comprehensive Work Proposal detailing:
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- The full scope of services;
- Clear fixed fees for each stage of the process;
- Realistic timelines for implementation;
- Our fixed fair fees mean no surprises;
- All consultations, document preparation, meetings, and implementation support are included in the price we quote you.
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Take the first step
Want to know more? Read some of our insights at the links below.