Services2024-07-31T11:14:28+10:00
At MIntegrity, we pride ourselves on our professionalism, integrity and extensive practical knowledge and experience.
We strive towards excellence in all our dealings with clients, partners and the regulators. We embody our core values of security, integrity, quality and trust in everything we do.

Our approach

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  • With our deep industry knowledge, we understand your business and your needs
  • We leverage our own experiences as practitioners to deliver what you need in an optimal way
  • We tailor our services and approach to you based on what is critical for your business and in light of your own risk areas
  • We exercise utmost discretion and confidentiality to promote and maintain the privacy and reputation of you and your clients
  • We work fast and efficiently, because when it comes to regulatory matters, time is of the essence
  • We have experience working across different jurisdictions, therefore we have both local and global knowledge

Our services

Separation and transformation projects

  • Full range of services for start-ups and entrants to the Australian financial market, or those undergoing a separation or transformation program
  • Establishment of compliance and operational frameworks, including policies, procedures and controls
  • Assistance with Risk and Compliance organisational structure and setup
  • Assistance with compliance systems, processes and procedures
  • Ad hoc advice on regulatory matters arising before, during and after separation

AFSL and Market Participant applications

  • Australian Financial Services Licence applications and variations
  • Foreign financial service provider applications
  • ASX Participant applications and variations (trading, settlement and clearing)
  • Cboe Trading Participant applications and variations
  • Assistance with responses to the regulators as part of application or variation processes
  • Assistance with scheduling, review and delivery of required regulatory notifications associated with applications and variations

Compliance Assurance and Regulatory Reviews

  • Compliance due diligence reviews as part of proposed mergers and acquisitions or takeover activity
  • Annual compliance assurance reviews
  • Targeted compliance reviews, covering a range of specific topic areas including but not limited to client money, best interests obligations, appropriateness of advice, AML/CTF and BCP/DRP
  • Independent reviews of AML/CTF Program Part A
  • Automated Order Processing reviews and certifications

Independent Expert services

  • Review and remediation of Australian Financial Services Licence Conditions and Enforceable Undertakings
  • Assistance with review and remediation of ASX and Cboe enforcement actions
  • Expert Witness services, including informal expert analysis and related reports

Education and training

  • MIntegrity’s e-Learning modules designed for financial services practitioners, focused on market integrity oversight
  • Bespoke online and face to face training tailored to your business needs
  • Online courses offered by Caddie, our compliance training partner

Ad hoc and other services

  • Specialist regulatory, operational and technological resourcing
  • Assistance with Risk and Compliance system implementations
  • Ad hoc regulatory advice
  • Assistance with ad hoc regulatory remediation matters

Summing up the offerings

Full range of services for start-ups and entrants to the Australian financial market, or those undergoing a separation or transformation program

Expert Guidance from Start to Finish

Advice on all regulatory matters arising during the full life cycle of a licence holder.

Independent Compliance Expert Services

Expert review and remediation of ASX, Cboe enforcement actions, and AFSL conditions.

Education and Training

Tailored e-learning modules and training programs for financial services practitioners.

Ask Our Experts

Our Insights

Explore our insights into the latest developments in the risk regulatory
landscape and find tips and strategies for success

Client testimonials

Libri CEO

MIntegrity’s expert regulatory guidance elevated our integrity standards, making them an invaluable partner in the financial services industry. Their collaborative approach, deep understanding, and forward-thinking recommendations set them apart as true leaders in the field.

Michael Croft, Libri CEO

Frequently Asked Questions

MIntegrity provides a unique blend of experience in financial services regulation. Our services cater to:

  •  Start-ups, separation, and transformation projects.
- AFSL, ASX, and Cboe Participant applications.
  • Compliance Assurance and Regulatory Reviews.
  • Independent Expert services.
  • Regulatory education and training

MIntegrity works collaboratively with clients to set realistic timeframes for project milestones. These timelines depend on the specific engagement, regulatory processes, and the complexity of the task at hand. Clear communication ensures alignment with your business needs.

RegsWeb is MIntegrity’s integrated policy and regulatory change solution. It streamlines your compliance efforts by efficiently managing regulatory requirements. Whether you’re a financial services provider, market participant, or regulator, RegsWeb keeps you informed and helps you stay compliant.

GET IN TOUCH TODAY

Ask Our Experts

Connect with MIntegrity’s experts to navigate regulatory challenges and elevate integrity standards in financial services. Your tailored solutions await – inquire now to start the journey to regulatory excellence.

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