LYRA Risk & Compliance

LYRA Risk & Compliance

We’re excited to learn more about your business so we can tailor our support to what matters most to you. To help us get started, could you share a few details below?
Contact Information
Primary Contact Person (Full Name)*

First NameLast Name
Contact Email Address*
example@example.com
Contact Phone Number
Company Name*
ABN/ACN
How did you hear about LYRA Risk & Compliance?

ReferralOnline SearchLinkedInIndustry EventProfessional NetoworkWebinarOther
Business Type & Regulatory Status
Is your business a financial services firm?*

YesNo
If yes, please indicate which categories apply.

Australian Financial Services Licence (AFSL) holderCredit licence holderReporting entity under AML/CTF ActSuperannuation trusteeInsurance provider/brokerPayment service providerForeign exchange/remittance providerDigital currency exchangeOther financial services
If no, what is your primary industry?

Real estate/property managementProfessional services (legal, accounting, consulting)Technology/softwareHealthcareRetail/e-commerceManufacturingHospitalityOther
What type of support are you seeking? (Select all that apply)*

Full risk and compliance obligations reviewAML/CTF compliance onlyRegulatory licensing supportPolicy and procedure developmentRisk management frameworkCompliance training programsInternal audit servicesBreach and incident managementOngoing compliance monitoringOther
What is driving your need for compliance support? (Select all that apply)

New regulatory obligationsBusiness expansion or growthRegulatory inquiry or auditInternal concerns or gaps identifiedChange in business modelLicence application or renewalAcquisition or merger activityBest practice improvementOther
Business Structure & Operations
Legal structure

Sole traderPartnershipPty LtdLtd (public company)TrustOther
Ownership model

Individual ownerPartnershipShareholdersOther
Group structure

Standalone entityPart of a group (parent company/subsidiaries)Sister companiesFranchiseProfessional networkOther
Operational presence

Single officeMultiple offices in one stateMultiple offices across states/territoriesOverseas operationsOther
Number of employees

1-56-1516-2526-5051-100100+
Please list all licences and jurisdictions
Do different offices/teams manage their own clients and processes independently?

YesNoN/A
Current Compliance Framework
Who is responsible for compliance in your business?

Business owner/directorDedicated compliance officerCompliance teamExternal consultantNo formal appointmentOther
Do you currenty have

Documented policies and proceduresRisk management frameworkCompliance monitoring programDelegated authorities or risk appetite statementsIncident/breach registerCompliance training programNone of the above
Do you currently provide any of the following services? (Designated Services under new AML obligations)

Assisting in planning or execution of transaction to sell, buy or transfer real estateAssisting in planning or execution of transaction to sell, buy or transfer body corporate or legal arrangementReceiving, holding, controlling or managing property to help in transaction planning/executionAssisting in organising, planning, or executing transaction for equity or debt financingSelling or transferring shelf companyAssisting in planning or execution of creation or restructuring of body corporate or legal arrangementActing or arranging for someone to act on behalf of person in positions in body corporate or legal arrangementProviding registered office address or principal place of business address
Customer & Transaction Profile
Types of customers you service (Select all that apply)

Individuals (domestic)Companies (domestic)TrustsForeign persons/entitiesHigh-risk industriesHigh net worth clientsGovernment entitiesOther
Approximate number of new clients onboarded per year

0-5051-200201-500500+
Approximate number of transactions per year (if applicable)

0-100101-500501-1 0001 000+N/A
Key Concerns & Support Areas
What are your biggest concerns or challenges regarding risk and compliance?
What areas do you foresee needing the most support, advice, and guidance?
Any additional information you'd like to share
Disclaimer & Privacy
The information requested in this questionnaire is for preliminary scoping purposes only and is not legal, regulatory, or financial advice. LYRA Risk & Compliance will rely on the information provided to assess your risk and compliance requirements and prepare a proposal or scope of work. Formal advice or implementation services will only be provided once an engagement agreement is executed. Please ensure all information supplied is accurate to the best of your
knowledge. Completion of this questionnaire does not create a client-consultant relationship.
The information you provide in this questionnaire will be kept strictly confidential and used only for the purpose of assessing your risk and compliance requirements and preparing a proposal or scope of work. LYRA Risk & Compliance will not share your information with any third parties without your consent, unless required by law. All data is stored securely and handled in accordance with Australian privacy principles.
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LYRA Risk & Compliance

Contact Information

Business Type & Regulatory Status

Business Structure & Operations

Current Compliance Framework

Customer & Transaction Profile

Key Concerns & Support Areas

Disclaimer & Privacy