Simplicity + Certainty = Confidence
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Secure

Secure

Your information is securely held, communications are safely encrypted. Our fully encrypted backups occur often and regularly. Flexible and secure user password security.

Fast

Fast

Fast interfaces, user experience and reporting through the latest database design and web technology. User management tools aide efficient processes

Simple

Simple

Uncluttered user interfaces, multiple browser tab access, effortless data links. Our user-friendly and easy to learn user interface means no steep learning curve. Logical data entry flow with what you expect where you expect.

Customisable

Customisable

You select the modules you use and customise to your needs. You control your reports' content, you tailor your installation to suit your businesses needs

Standardised

Standardised

We support the global standards on Risk Management (ISO 31000) and Compliance (ISO 19600) and APRA SSP 220

Centralised

Centralised

One stop for all of your risk and compliance office needs. View completed and incomplete controls. Retain all your controls and records in the one accessable data base

How it Works

Feature diagram

CRS Certus becomes your record of your risks, risk profile, risk mitigators, obligations, responsible managers and staff, policies and procedures. It holds your proof of control execution. It facilitates recording and managing issues, incidents and complaints. CRS Certus can be interrogated to deliver reports on all data it holds in a format your audience needs.

Risks

Full risk management system. Customisable risk register. Multiple entity ratings support. Links to mitigating controls and issues register. Risk appetites tied to strategic objectives. Risk tolerance triggers and questionnaire system.

Obligations

Record obligations. Link to legislative or regulatory sources. Reconcile obligations with business controls

Controls

Document business controls. Link to risks and obligations. Assign responsibilities to managers. Automatically generate controls self-assessment questionnaires. Managers alerted when questionnaires are ready, complete within CRS Certus

Assessments

Controls response assessment navigation. Record testing results. Full audit records of resolution and further action. Directly load adverse responses into Issues Register.

Incidents

Capture incidents originating from within CRS Certus and reported by your business. Customise incident categories. Workflow management. Assign activities. Capture reportability assessment, related documents and developments.

Complaints

Customise complaint categories. Seamless flag as incidents, breaches or risk mitigation controls failures.

Registers

Breach register with regulator reporting assessments. Personal dealing approvals and register, gifts & benefits, training, conflicts of interest, relatedy party, legal documents, administrative documents, publications, office holder registers amongst others.

Alerts

Email alerts issued out of the system directed to your defined positions. Customisable email content and triggers. Email service log validates that communications are sent.

Policies & Procedures

Policies and procedures library. Alert users to new content to review within CRS Certus. Capture user confirms of access and understanding of policies and procedures. The library becomes your single point of truth.

Reporting

Flexible reporting to PDF and XLS(X). Customisable report content, period and presentation, tailored and relevant for the audience. Reports returned immediately. Aides regulatory enquiry, annual audit, demonstrates the control you have over your business

Consultancy and Outsourced Management

In addition to providing CRS-Certus as a software service, we provide consulting and outsourced management services. These services are available separately from CRS-Certus.

We can help to:

  • Operationalise your risk and compliance management system.
  • Workshop your risks.
  • Build Controls.
  • Document your regulatory obligations.
  • Implement incident/complaints reporting.
  • Document your policies & Procedures

Compliance & Risk Services Pty Ltd has been providing risk and compliance management solutions for businesses for over 10 years.

Our speciality in financial expertise

We have particular experience with financial Australian financial institutions such as Australian Financial Services Licensee, APRA regulated entities, Australian Credit licensees and AUSTRAC reporting entities.

  • Australian Financial Services ('AFS') Licence applications and licence variations
  • RSE licence applications
  • AFS Licence compliance reviews
  • Managed investment scheme registrations
  • Draft compliance plans
  • Draft Product Disclosure Statements ('PDS')
  • PDS due diligence
  • MDA contracts
  • Provide outsourced compliance management
  • Anti-money laundering & counter terrorism financing ('AML/CTF') programs
  • Independent reviews of AML/CTF programs
  • External Compliance Committee members
  • Temporary compliance staff placements
  • Risk management frameworks
  • Local agent for foreign licensees
  • Technical and product advisory services
  • Responsible manager training

Our values and ideals

Experience

We are experienced risk and compliance management practitioners experienced in developing and operating risk and compliance management systems.
CRS-Certus is developed through our experience as risk and compliance management practitioners.

In-house programming team

Our programming team is retained in-house. We believe that the partnership of practitioner and programmer provides a strength that few competitors may match.

Secure IT architecture and backups

Our system uses contemporary database design, programming languages, and hardware. We have implemented a constant backup regime using offsite encrypted storage.

Trust

We have provided services to over 200 clients over the globe. We have acted as topic experts under ASIC enforceable undertakings, engaged as experts in litigation and ASX disciplinary reviews.

Articles

Director Identification Numbers Commencing
By Gerald O'Byrne at 22/10/2021
Changes to AML/CTF Requirements
By Sharman Grant at 28/09/2021
ASIC guidance on breach reporting
By Gerald O'Byrne at 17/09/2021
ASIC v RI Advice Group Pty Ltd – failure to properly supervise an Authorised Representative
By Terry Dalziel at 12/08/2021
ASIC reference checking and information sharing protocol
By Gerald O'Byrne at 26/07/2021
ASIC email to licensees - reportable situations
By Murray Jones at 25/06/2021
Structural change in Stock Broking
By Adam Bold at 23/06/2021
Ongoing Fee Arrangements - Obligations and Client Consent
By Terry Dalziel at 16/06/2021
Property related AFS Licensees and APRA Connect
By Gerald O'Byrne at 09/06/2021
Change in treatment of leases for calculation of net asset, adjusted surplus liquid funds and surplus liquid funds – no longer an excluded asset
By Terry Dalziel at 02/05/2021
New Compliance Standard replaces ISO 19600
By Murray Jones at 20/04/2021
Consent to Deductions – Ongoing fee arrangements, information to be provided where a fee is to be deducted from a clients account: An updated.
By Terry Dalziel at 30/03/2021
Special Purpose Financial Statements ceasing from 1 July 2021
By Terry Dalziel at 30/03/2021
Disclosure of lack of independence – further disclosure via legislative instrument
By Terry Dalziel at 25/03/2021
Financial Sector Reform (Hayne Royal Commission Response No. 2) Bill 2020 now Law
By Terry Dalziel at 11/03/2021
Claims handling and settlement service and the need to be authorised
By Terry Dalziel at 01/03/2021
Wholesale and Sophisticated Clients can access AFCA
By Adam Bold at 22/01/2021
Financial Sector Reform (Hayne Royal Commission Response No. 2) Act 2020 - Impact on financial advisers
By Terry Dalziel at 16/12/2020
ASIC commences action against the RI Advice Group Pty Ltd
By Terry Dalziel at 24/08/2020
Deferral of mortgage broker reforms and design & distribution obligations
By Murray Jones at 12/05/2020
Director Identification Numbers Commencing

All directors and alternate directors of registered Australian bodies or registered foreign companies under the Corporations Act 2001 will be required to apply for a Director Identification Number (DIN) from 1 November 2021.  

The requirement to apply also applies for Aboriginal and Torres Strait Islander corporations registered under the Corporations (Aboriginal and Torres Strait Islander) Act 2006. 

Applications can be made via the Australian Business Registry Service website: abrs.gov.au

A DIN will be unique to each individual director and will help to:

  • prevent the use of false and fraudulent director identities
  • make it easier for external administrators and regulators to trace directors' relationships with companies over time
  • identify and eliminate director involvement in unlawful activity, such as illegal phoenix activity.

Company secretaries who are not directors are not required to obtain a DIN. 

When you need to apply

For Corporations Act directors: 

Date you become a directorDate you must apply
On or before 31 October 2021By 30 November 2022
Between 1 November 2021 and 4 April 2022Within 28 days of appointment
From 5 April 2022Before appointment

 How to apply for your DIN via the Australian Business Registry Service 

Directors must apply for their DIN themselves because they need to verify their identity.  No one can apply on their behalf. 

  1. Set up myGovID
  2. Gather your ID documents:
    1. your tax file number
    2. your residential address held by the ATO
    3. information from two documents to verify your identity
  3. Complete your application

Manage your DIN

When your receive your DIN, you need to pass it on to your company or companies.

If your personal details change you must notify your company or companies within 7 days.  Your company or companies are then required to notify ASIC within 28 days to avoid late fees.

Australian Business Registry Services can only disclose your DIN to you or to: 

  • someone you give them permission to disclose to
  • certain commonwealth, state and territory government bodies
  • courts and tribunals

Contact Us

Feel free to drop us a message if you have any questions or requests.

Or give us a call at

P: 03 9663 4456

and post us at

P.O. Box 18009
Collins Street East
Melbourne, VIC 8003

We're located at

Level 25, 360 Collins St
Melbourne, VIC, 3000