Financial Services & Credit Licensing

Guildfords specialises in both AFSL and ACL applications and have an excellent understanding of the current regulatory landscape. We have assisted businesses across all aspects of the financial services and credit industries, including accounting firms, fund managers, real estate companies, investment banks, non-bank lenders and insurance companies.

Guildfords’ successful history illustrates a detailed knowledge of financial services and credit regulations defined by the Australian Securities and Investment Commission. Guildfords’ breadth of consultation experience, covering corporate governance, company valuation, investor engagement and general advice, is often a key component in application success. For clients who already possess a Licence, Guildfords can assist in achieving variations surrounding licence conditions, authorisations, and Responsible Managers.

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When helping your business obtain a Licence Guildfords will:

  • Conduct an extensive consultative approach to ensure that your proposed activities are properly covered by the authorisations you are seeking
  • Ensure that the Responsible Managers that your firm is nominating have the required skills and experience to support the applicable financial and credit services
  • Draft all the applicable documentation to support your application (Including proof documents and accompanying documentation)
  • Discuss any requirements ASIC may have once the application is submitted
  • Provide on-going AFSL/ACL compliance once the licence is obtained

If you seek a change to your AFSL or ACL which might entail removing responsible managers, change of authorisations or are seeking advice in this area then Guildfords can provide you this support. Guildfords will help your business lodge an application and submit and create all necessary documents to ensure your variation can be properly and efficiently assessed by ASIC.

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Immediate response to ASIC and client requirements is a major priority for Guildfords

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Guildfords’ experience in writing AFSL and ACL for companies extends across sectors including but not limited to; insurance, mortgages, funds management, residential, commercial property, stock brokerage, agricultural investments, FOREX and Derivatives (OTC & ETF)

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Guildfords has successfully written and varied 50+ AFSL/ACL for national and international clients across most licence authorisations


An effective governance structure provides the owners and management with the framework to drive their organisation forward with effective accountability. Guildfords has processes to help your firm achieve this.

Guildfords can provide your firm with corporate due diligence that will allow your firm to satisfy regulatory requirements.

Our experience providing corporate governance services incorporate processes that include:

  • Board (and where appropriate Advisory Board) Structure and Conduct
  • Risk Management
  • Statutory Compliance (both Commonwealth and State)
  • Strategy, Planning and Monitoring
  • Banking Compliance

Policy Creation

Guildfords has extensive experience in providing clients with comprehensive policy reviews and policy creation based on ASIC regulations or on Human Resource requirements

Our firm has developed strong relationships with financial services companies in local and international markets, due in part to the organisational competence possessed by our technical and business staff.

Policy Creation

If you are a new business needing help to develop a whole new set of policies or an existing business that is wishing to expand or have realized you are missing a set of critical policies, then Guildfords’ wealth of experience and in-depth knowledge of the financial services industry can aid you in helping to develop the policies you require.

Guildfords has extensive experience developing the policies of:

  • Anti-Money Laundering CTF Statement
  • Business Description
  • Organizational Competence
  • Conflicts of Interest
  • Outsourcing
  • Human Resource Statements
  • Employee Handbook
  • Information Technology (Inc. Cyber Security)
  • Risk Management Systems Statement
  • Compensation Arrangements
  • Personal Dealing
  • Investment Management
  • Social Media
  • Disaster Recovery Plan
  • Business Continuity Plan
  • Confidentiality
  • Employee Background Check
  • Grievance Handling
  • Anti-Discrimination and Harassment
  • Equal Employment
  • Health and Safety (Inc. COVID-19 Planning)
  • Family and Domestic Violence
  • Employment Contracts
  • Employee Declarations

Policy Review and Updating

In changing times, Guildfords understands that businesses need to continue to update their external and internal policies to ensure they continue to meet the needs of a dynamic and ever-changing global economy

Guildfords can assist your business by:

  • Conducting a holistic overview of current policies and providing a list of recommendations on how you could further develop and improve upon such documents.
  • Reviewing any respective COVID-19 procedures and policies and ensure that your firm is up to date with the latest regulation from federal and state governments.
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