For AFSL holders, RSE licensees, insurers and fintechs without a full-time regulatory specialist: independent advice from a former ASIC leader on breach reporting, regulator notices and supervisory engagement, and scoped risk and compliance projects on retainer.
Advice licensees and other licence holders whose compliance function is one or two people.
RSE licensees and insurers that want senior challenge without adding permanent headcount.
Payments, wealth and investment platforms holding a licence, or applying for one.
Australian entities that need someone fluent in how ASIC, APRA and AUSTRAC actually supervise.
Senior capacity for a defined piece of work, without a permanent hire.
A notice, a surveillance or a breach has landed and you want a steady second opinion.
Large institutions have in-house specialists and panel law firms. We’re built for the firms that have neither, and need senior judgement without a senior-hire cost.
Use them on their own, or start with one and add the other. Scope and fees are agreed up front, in writing.
An ex-regulator on call. Fast, senior access to someone who has sat on the supervisor’s side of the table, so the decisions that matter get a second opinion before they’re made.
Access retainer: a small monthly fee for guaranteed, fast-turnaround access.
Standing retainer: adds a regular monthly call and document review.
Fixed-fee projects: notice responses and pre-surveillance reviews, quoted up front.
Defined pieces of risk and compliance work, delivered the way a specialist consultancy would: a clear scope, agreed deliverables and a fixed fee, or a block of work on retainer that you draw down as needed.
Scoped projects: agreed deliverables, timeline and fee up front.
Project retainer: a block of agreed work, drawn down over time.
Advisory scope: we don’t hold a licence, responsible-manager or officer appointment unless agreed in writing.
“We think we’ve had a breach. Is it reportable?”
We test the facts against the reportable situations framework, challenge the assessment, and help you frame a report that is accurate, timely and defensible. The decision stays with you.
Regulator Ready“We’ve received a notice from the regulator.”
We review your draft response for completeness, evidence and tone, and tell you plainly what a supervisor will read between the lines before you hit send.
Regulator Ready“The regulator wants to meet next month.”
We prepare your team: the likely lines of inquiry, the evidence to have ready, and who should say what. Calm preparation beats a scramble.
Regulator Ready“We have a defined piece of risk work and no spare capacity.”
We agree a clear scope, deliver the work to a fixed fee or from a retainer, and leave your in-house team with something they can run: a stronger framework, process or report.
Advisory projectsJudgement about what supervisors weigh comes from having done the supervising, and from having delivered the response inside the regulated firm on the other side. We’ve done both.
A short, free conversation about your firm, your regulators and what you need. No obligation.
We confirm conflicts and confidentiality, then agree a retainer or fixed-fee scope in writing.
Access begins quickly. We review how it’s working at regular intervals and adjust.
A short guide to APRA’s operational resilience standard, in force since 1 July 2025: what it requires, where entities are still catching up, and a practical action plan.
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