Regulatory Compliance

Compliance, covered.

Take regulatory compliance off your to-do list

Effective compliance strengthens trust, mitigates regulatory risk and supports sustainable growth. We work alongside your team to manage obligations, streamline processes and reduce complexity — ensuring nothing slips through the cracks.

Whether you’re navigating AFSL/ACL obligations, ASIC reporting, AML/CTF, or enterprise-wide risk frameworks, we deliver clear, actionable compliance structures that grow with your business.

Why choose us?

We keep you ahead of risk

No scrambling before deadlines. No guesswork. We put the right systems in place and stay on top of your obligations with you – every step of the way.

We flex as you grow

Full outsourced support or targeted help to plug a gap — our model adapts as your business evolves.

We work as part of your team

You’ll have a single point of contact backed by our full team of compliance specialists. We’re responsive, practical and easy to work with.

We bring full coverage

When your needs cross into legal, privacy or governance, we work seamlessly with Hamilton Locke and Helios Salinger so you get complete coverage through one relationship.

We make compliance usable

No overbuilt frameworks or unnecessary paperwork. Just clear, operational compliance built for day-to-day reality.

How we help

Ongoing compliance

We oversee your compliance operations, ensuring obligations, reporting cycles and remediation activities are executed seamlessly.

Compliance frameworks

We design and implement AFSL and ACL compliance frameworks that are practical, manageable and regulator-ready.

Compliance health checks

Independent reviews of your compliance and risk environment to identify gaps and resolve issues before they escalate.

AFSL & credit licensing

End-to-end management of licence applications, variations and Responsible Manager appointments — including documentation and ASIC liaison.

Adviser file audits

Independent file reviews for advisers and brokers to reduce risk, ensure quality and strengthen compliance before regulators intervene.

Risk management frameworks

Development and maintenance of risk frameworks that meet regulatory obligations and align with leadership and board expectations.

AML/CTF obligations

Fit-for-purpose AML/CTF programs, risk assessments, independent reviews and reporting that meet AUSTRAC requirements.

Legal & privacy support

Where compliance intersects with legal or privacy complexity, we work seamlessly with Hamilton Locke and Helios Salinger to provide full coverage.

How we help

Need help meeting your AML/CTF obligations?

Is your business impacted by the AML/CTF reforms taking effect in July 2026?

Our Compliance team works with businesses to develop and implement practical, tailored solutions to ensure you stay compliant.

Learn more about how Source can help you prepare for the reforms.

In your words

Our clients explain what it’s like to have expert support built into their business – flexible, practical, and always on their side.

"Source’s compliance team has been an invaluable partner to us over the long term, helping to build out our regulatory and compliance frameworks, manage ongoing monitoring activities, and providing timely, ad hoc advice. They have consistently demonstrated an ability to add value and adapt to the challenges that come with servicing a rapidly growing business like ours. Their responsiveness and flexibility have allowed us to stay ahead of compliance requirements while maintaining our focus on growth."

“I consider Source an indispensable part of our team. I have complete confidence in their expertise and advice. Knowing I can rely on Source to manage and maintain our compliance allows me to focus on my responsibilities without any concerns. Their knowledge and experience surpass what we could achieve by hiring internally. The value they bring to the table is unmatched, and I highly recommend Source for their exceptional service."