Compliance &
Regulation
Committed to the highest standards of regulatory compliance and client protection
Regulatory
Framework
Managed Portfolio Services Limited operates under Australian Financial Services License (AFSL) No. 00233761, issued by the Australian Securities and Investments Commission (ASIC). This license authorizes us to provide financial services to both retail and wholesale clients.
Our commitment to compliance ensures that we meet all regulatory requirements while providing exceptional service to our clients. We maintain the highest standards of professional conduct and ethical business practices.
Key Compliance
Areas
Our comprehensive compliance framework covers all aspects of financial service delivery
Full compliance with all Australian Financial Services License obligations including adequate arrangements, competency requirements, and ongoing monitoring.
- Adequate arrangements for financial services
- Competency and training requirements
- Risk management systems
- Dispute resolution procedures
Comprehensive client protection measures including segregated client accounts, professional indemnity insurance, and strict confidentiality protocols.
- Segregated client money accounts
- Professional indemnity insurance
- Privacy and confidentiality protection
- Client complaint procedures
Robust risk management framework covering operational, financial, and compliance risks with regular monitoring and reporting procedures.
- Operational risk controls
- Financial risk monitoring
- Compliance risk assessment
- Regular risk reporting
Comprehensive AML/CTF program including customer identification, ongoing monitoring, and suspicious matter reporting in accordance with AUSTRAC requirements.
- Customer identification procedures
- Ongoing customer due diligence
- Suspicious matter reporting
- Record keeping requirements
Strict adherence to best interest duty requirements ensuring all advice and recommendations are in the client's best interests and appropriate to their circumstances.
- Client needs assessment
- Appropriate advice standards
- Conflict of interest management
- Ongoing suitability reviews
Comprehensive disclosure and reporting framework ensuring transparency and accountability in all client interactions and regulatory communications.
- Financial Services Guide
- Statement of Advice
- Product Disclosure Statements
- Regular client reporting
Regulatory
Information
Important regulatory details and contact information
License Details
Authorized Services
- Provide financial product advice
- Deal in financial products
- Make a market in financial products
- Provide custodial or depository services
Contact Information
Registered Office
Level 1, 800 Bourke Street
Docklands, Victoria 3008
Australia
Compliance Officer
Email: [email protected]
Phone: +61 39 088 0344
Complaints
Email: [email protected]
Phone: +61 39 088 0344
External Dispute Resolution
If you have a complaint that cannot be resolved internally, you can contact our external dispute resolution scheme
Australian Financial Complaints Authority
Website: www.afca.org.au
Email: [email protected]
Phone: 1800 931 678
Mail: GPO Box 3, Melbourne VIC 3001
AFCA Member Number
10872
AFCA provides fair and independent financial services complaint resolution that is free to consumers.