APRA CPS 234. AFSL obligations. SOC 2 readiness.

AFSL holders, AFS licensees, super funds, private wealth advisors, fintech operators and regulated payments businesses. Where audit, attestation and incident reporting obligations meet day-to-day operations. We've built the baseline before, and we maintain the documentation.

Our sector stack

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WHAT WE TYPICALLY DELIVER

The financial services baseline

REGULATION

APRA CPS 234 alignment

Information security capability documented and tested. Annual review evidence pack. Mapping to existing risk frameworks.

AUDIT-READY

SOC 2 readiness

Trust services criteria mapped to your environment, control evidence captured automatically, gap remediation prioritised.

RECORDING

Compliance call recording

Teams-native compliance recording for AFS advisor calls, retained per ASIC requirements, eDiscovery-searchable.

RESILIENCE

CPS 230 operational resilience

Critical operations mapped, tolerance levels documented, scenario testing, third-party material risk register.

DATA

Client data segregation

Sensitivity labels, DLP, separation of advisor/client/firm data. Wall-builder controls between conflicting engagements.

INCIDENT

Incident response & reporting

Where to go next

Managed IT service →Foundation IT engineered to APRA and AFSL operational standards from the outset.SOC 2 framework →Many financial services clients now request SOC 2 evidence from their suppliers.Essential 8 framework →Required baseline for many regulated and tendered financial services engagements.Voice & recording →Call recording with retention is an AFSL operational obligation; delivered properly.

WHAT WE SOLVE FOR FINANCIAL SERVICES

IT that produces the evidence your compliance team needs.

APRA prudential standards (CPS 230, CPS 234), AFSL operational obligations, call recording with retention timed to regulatory requirements, fraud monitoring, and immutable audit trails on the systems that matter. We have supported brokers, advisers, fund managers and lenders, with the controls in place and the paperwork that comes with them. Third-party risk management runs on documented evidence, not vendor questionnaires answered from memory.

Financial services IT must produce evidence on demand. Our managed delivery generates the trail your compliance team needs without their having to ask, and the trail holds up when ASIC or your auditor wants to see it. Incident response timeframes for material breaches are documented and rehearsed.

AFSL holder or APRA-regulated entity? Posture review by a senior engineer.

One-hour review focused on your CPS 234 / CPS 230 posture and SOC 2 readiness. Written gap analysis delivered within five business days.

Book a Posture Review