Licensing

We advise on obtaining a licence from ASIC to be able to carry on your financial services business. This includes initial application for your licence and subsequent variations to change your authorisations or conditions.

Limited Australian Financial Services Licences 

ASIC has made available Limited Licences for recognised accountants.  Seven Peaks’ services includes preparing and making the application to ASIC and liaising with the regulator to obtain the desired authorisations. We also provide you with a compliance manual to reflect your business needs.

Full Australian Financial Services Licence 

When applying for an Australian Financial Services Licence, (excluding an application for becoming a Responsible Entity of a registered managed investment scheme), Seven Peaks will  prepare and make the application to, and liaise with ASIC on your behalf  to obtain the desired authorisations. As part of this service, we also provide you with a compliance manual to reflect your business needs.

Licence Applications for Responsible Entities

A licence to become a responsible entity of a registered managed investment scheme generally requires a more involved process. Seven Peaks will prepare and make the application to ASIC , liaising with the regulator on your behalf  to obtain the desired authorisations. If needed, we will also include our Funds Managements services and prepare the necessary fund documents for you or in conjunction with your team.