Securing AFSL and compliance

Energy Edge provided gap analysis and a project plan to guide a company in achieving their AFSL.

Energy Edge worked with a large publicly listed energy company to obtain their Australian Financial Services License (AFSL) and put measures in place to ensure ongoing compliance.

In preparing the organisation for its AFSL application, Energy Edge undertook an assessment as to the appropriate mechanisms that needed to be in place for the company to gain its licence, based on the size and nature of the business.

A gap analysis and project plan were provided to the client in order to convey exactly what was required and why, and the level of work involved to implement those processes and documentation. As compliance with documented processes is so important to the ongoing compliance with the licence and its conditions, Energy Edge also provided tailored interactive workshops to various staff across the business ranging from trading and risk teams through to human resources and finance teams, to ensure the licence obligations and compliance processes were fully understood.

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