Compliance due diligence for mergers & acquisitions

Conducting thorough compliance due diligence is crucial before entering a merger, acquisition, or takeover. We assess regulatory obligations, identify potential risks, and ensure sound compliance frameworks—helping you avoid acquiring costly compliance failures as part of the transaction.

Annual compliance assurance reviews

Regular compliance reviews help businesses stay aligned with Australian regulatory requirements. Our team conducts annual assessments to ensure your organisation remains compliant and identifies areas for improvement before they become regulatory concerns.

Targeted compliance reviews

We offer specialised compliance reviews to help businesses meet regulatory obligations and mitigate risks. Our assessments cover client money handling, financial advice, AML/CTF obligations, and business continuity planning to ensure operational resilience.

Independent AML/CTF Program Part A reviews

We conduct independent reviews of AML/CTF Program Part A to ensure businesses meet AUSTRAC’s requirements. Our comprehensive assessment services focus on risk identification, compliance frameworks, transaction monitoring, and reporting obligations.

Automated Order Processing reviews & certifications

Automated trading systems for market participants must comply with strict regulatory standards. Our reviews ensure your Automated Order Processing (AOP) systems meet legal requirements, mitigate potential compliance-related risks, and operate efficiently within compliance frameworks.

Australia’s Anti-Money Laundering and Counter-Terrorism Financing Act places stringent obligations on businesses to prevent financial crime. Non-compliance can result in severe penalties, reputational damage, and legal consequences.

We offer comprehensive AML/CTF compliance solutions, including:

• Risk assessments – Evaluating vulnerabilities in business operations.
• AML/CTF programme development – Designing tailored compliance frameworks.
• Independent Part A reviews – Ensuring compliance with AUSTRAC requirements.
• Transaction monitoring & suspicious matter reporting – Assisting businesses with their legal reporting obligations.
• Staff training & awareness –  Equipping employees with the knowledge to identify and mitigate financial crime risks.

By partnering with us, businesses can strengthen their AML/CTF controls, reduce risks, and maintain regulatory confidence.

The Australian Privacy Act requires businesses to take reasonable steps to protect personal information from misuse, loss, and unauthorised access. Under APP11, organisations must implement robust security measures to safeguard sensitive data and ensure compliance with Office of the Australian Information Commissioner (OAIC) and ASIC regulations.

Our compliance services help businesses meet APP11 requirements by:

• Assessing data protection measures – Reviewing policies and systems to prevent unauthorised access.
• Implementing secure information handling – Ensuring proper storage, transmission, and disposal of data.
• Conducting privacy risk assessments – Identifying vulnerabilities in data security frameworks.
• Developing breach response plans – Establishing protocols for managing and reporting data breaches.

By ensuring compliance with APP11, businesses can strengthen data security, maintain customer trust, and avoid regulatory penalties.

• Industry expertise – Extensive experience across financial services, corporate governance, and compliance.
• Tailored solutions–We customise our compliance services to fit your business’s specific requirements.
• Proactive compliance approach –Identifying potential risks before they become costly regulatory issues.
• Independent & objective reviews – Providing unbiased compliance assessments to enhance regulatory confidence.