Compliance Services

GSI provides expert guidance for new entrants to the insurance industry, including: Preparation and submission of AFS Licence applications Strategic advice on regulatory setup and operational readiness Support navigating associated compliance and governance requirements Launch with confidence, backed by proven expertise

Our scored audit programs assess your management systems, governance, and operational controls. Each review includes detailed commentary and actionable recommendations. Audit scope may include: Organisational capacity and service delivery Product research and recommendation processes Financial management adequacy (non-financial audit) Infrastructure and risk controls: IT, records, continuity, disaster recovery Deliverables: Observations and findings Remediation guidance for non-compliance Strategic improvement opportunities Feedback for management and compliance teams

We evaluate broker and underwriter activities against industry benchmarks, with customisable Terms of Reference. Our scoring methodologies help track continuous improvement and highlight areas of operational excellence. Tailored reviews. Measurable impact.

GSI offers flexible, ongoing compliance support — both on-site and remote — to help clients stay ahead of regulatory change. Support services include: Monitoring scheduled compliance activities Regular teleconferences and progress reviews Guidance on procedural updates and legislative changes Training and implementation support for Responsible Managers and broking staff

As AR networks expand, GSI provides tailored monitoring, ongoing support and supervision programs to ensure compliance and operational integrity. Customisable elements: Delivery format: remote or in-person Audit scope and frequency Operations Manual content Supplementary compliance methodologies Audit categories Front Office: Client engagement Advice delivery Insurance arrangement Renewals and cancellations Payment handling Claims management Corporate Governance: Business activity review Compliance culture assessment Adherence to Operations Manual Organisational Capacity: Resourcing levels: staffing, capability mix Training & competency: accreditation, CPD Business continuity: resilience, recovery Scalability alignment: growth readiness Product and Services: APL compliance: approved product usage Suitability checks: client needs alignment Service consistency: delivery standards Product onboarding: training, readiness Client outcomes: value and fairness Administration: Record‑keeping: file accuracy, completeness Reporting quality: data and timeliness Licensing status: authority maintenance Policy adherence: workflow compliance