Our services

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'Prevention is better than cure'. Our advice vetting service provides a comprehensive review of the advice before it reaches the client. You will receive a report detailing the strengths and areas that require improvement, as well as providing an overall compliance score for the advice. 

The most effective method to monitor and supervise your advisers! We will take on this task, and put you in a position of power with the regulator to meet your obligations. We also provide tailored, one-on-one coaching sessions with your advisers to ensure audit findings are efficiently implemented.
 

Complaints are a gift in disguise, as they provide you with the feedback that your AFSL needs. However, dealing with complaints can be a long and costly process unless you're in the right hands. We manage it all for you, ensuring that you walk away with all of the lessons and none of the pain. 

Compliance manuals and policies are the compliance 'blueprint' of an AFSL. They are required to set the advice business' standards and ensure that there is governance and guidance around your compliance measures. It is imperative to ensure that they are relevant and accurately reflect the operations of your business. We will create a robust, comprehensive and tailor-made manual or suite of policies for your advice business, review them on a regular basis and ensure they are up-to-date with regulatory requirements.

 Your AFSL is your most prized asset. It is therefore a necessity to ensure that your business is meeting its licence and regulatory obligations. We will sit down with you and go through a complete and comprehensive four-point 'health check' of your business, covering compliance records, financial records, resourcing and technology, and the advisers and advice process. You will have a strong understanding of how your business is positioned from a compliance perspective, and what further you may need to do in order to make compliance your competitive edge

No matter how robust your compliance may be, unfortunately there are rainy days which may result in significant angst. The key to addressing incidents, breaches and remediation programs is to be adequately prepared, have measures in place to deal with such matters, and most of all, be well-informed. We will provide you with the expertise and confidence which will go a long way in removing that angst. We will manage breaches, conduct remediation programs, and also communicate with the regulator to ensure that you can comfortably continue focusing on what you do best.