Ariel & Associates

Ariel & Associates is an independent consulting firm dedicated to providing comprehensive compliance, licensing, and governance services to our clients in the financial services industry. With our team's extensive experience and expertise, we strive to deliver tailored and effective solutions to meet the complex regulatory requirements of our clients.

Our Expertise

Our team, led by Jeremy Danon, has over twenty years of domestic and international experience in the financial services industry. Our expertise spans across various sectors, including futures and securities broking, market regulatory, market making, foreign exchange, banking, insurance, managed investment schemes, Registered Schemes, and remittance dealing. Our team's extensive experience and expertise enable us to provide comprehensive compliance solutions that cater to the unique needs of our clients.

Our Services

At Ariel & Associates, we offer a range of services designed to ensure that our clients maintain effective compliance procedures and adhere to the requirements of laws, industry and organisational standards, principles of good governance, and accepted community and ethical standards. Our services include:

• Compliance procedures, policies, and manuals
• Compliance validations, assessments, and risk monitoring
• Compliance outsourcing
• Compliance "health checks"
• Corporate Governance
• Independent and external compliance counsel
• Australian Financial Services Licence applications and variations
• Adherence with legislative obligations relating to holders of an Australian Financial Services Licence
• Advice and assistance to comply with the Anti-Money Laundering and Counter-Terrorism Financing ("AML/CTF") Act 2006 (Cth)
• Drafting AML/CTF Programs
• Undertaking an Independent Review of a Reporting Entity's existing AML/CTF Program
• Instilling a culture of compliance
• Attendance on Compliance Committees
• Training
• Company Secretarial
• Advocacy

Our Approach

At Ariel & Associates, we understand the importance of compliance in today's complex regulatory landscape. Our team takes a principled approach, focusing on efficiency, integrity, and probity in providing our services. We do not simply provide our clients with a document and expect it to magically deliver compliance results. Instead, we work closely with our clients to understand their unique needs and provide tailored solutions that cater to their specific requirements.