Compliance Audit

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Whatever industry you operate in, regulatory frameworks and compliance requirements are constantly changing. This can make business processes more complex, require extra time and resources to maintain compliance, and involve greater scrutiny from regulators.

Compliance audits are designed to ensure that your business or organisation is complying with its financial reporting obligations. A compliance audit is different from a financial audit in that the audit assesses your compliance with reporting legislation or other specified criteria, rather than the content of the financial statements.

You may be seeking independent verification of information reported to regulators, looking to minimise risk of non-compliance, or providing risk assessment to management.

Smart Wealth Advisors can help with:

Australian Securities and Investments Commission (ASIC) financial service licences
Australian Prudential Regulation Authority (APRA) prudential requirements
Australian Charities and Not-for–profits Commission requirements
Superannuation Industry (Supervision) Act (SIS) regulations
Private Health Insurance Administration Council (PHIAC) prudential requirements


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