We approach “compliance audits” differently because we believe that advisers should aspire to consistently provide exceptional advice, rather than simply complying with minimum industry standards.

So we take a flexible and strategic approach to managing advice and conduct risks - and a practical, commercial and consultative approach to remediation.

We believe that by more effectively managing these inherent risks, we’ll help improve advice outcomes, increase client engagement and build a more consistent, and a more consistently profitable, business.

our approach:

  • Is a proven, consistent and market tested methodology;

  • Weights issues by their risk, significance and impact – so that minor or pedantic issues don’t undermine the benefit of the review;

  • Provides effective benchmarking and peer-comparisons;

  • Prioritises the interests of clients and ensures that the advice provided to them is in their best interests;

  • Focuses on advice quality, advice process and the management and avoidance of conflicts of interest;

  • Contributes to maintaining advisers’ competence to provide financial services; and

  • Assists advisers to understand their obligations and their Licensee’s expectations.


sample size

Advice Assurance Reviews usually involve a consideration of up to four (4) files and the cost varies according to the complexity of the advice, the size of the sample and the scope, duration and manner of our engagement. 

While four files is often enough to provide a representative sample to assess, some Licensees prefer smaller samples (and more regular reviews) and we can accommodate these variations.


Don't confuse cost with value. 

The cost of our review services is tailored to:

  • the nature, scale and complexity of the business to be reviewed; and

  • the scale, scope and duration of the engagement.