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ADVISER REVIEWS, AFSL COMPLIANCE AUDITS AND COMPLIANCE CONSULTING

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We believe that advisers should aspire to consistently provide exceptional advice, rather than simply complying with minimum industry standards.

At Assured Support, we take a flexible and strategic approach to managing advice and conduct risks – and a practical, commercial and consultative take on remediation. 

Our methodology combines critical thinking with creative solutions. We stay up-to-date with regulatory law changes to ensure our advice is relevant and trustworthy, offering easy-to-implement changes within your financial services business, including:

  • Recommendations for training amongst advisers and Licensees.
  • Analysing and mitigating potential risks.
  • Reviewing records of advice given, including making suggestions to improve documentation.
  • Ensuring transparent, clear communication in line with industry standards.

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.

Benefit from:

Proven, consistent and market- tested methodology.
Proven, consistent and market- tested methodology.
Comparative and data-rich reporting. Our software weighs issues by their risk, significance and impact so that minor or pedantic issues don’t undermine the benefit of the AFSL compliance review.
Comparative and data-rich reporting. Our software weighs issues by their risk, significance and impact so that minor or pedantic issues don’t undermine the benefit of the AFSL compliance review.
Effective benchmarking and peer comparisons.
Effective benchmarking and peer comparisons.
A client-led, best-interest approach. We prioritise your best interests before offering advice.
A client-led, best-interest approach. We prioritise your best interests before offering advice.
An unmatched focus on advice quality, process and the management and avoidance of conflicts of interest.
An unmatched focus on advice quality, process and the management and avoidance of conflicts of interest.
A commitment to maintaining your competence to provide financial services as an Adviser.
A commitment to maintaining your competence to provide financial services as an Adviser.
Adviser assistance to understand your AFSL compliance obligations and Licensee’s expectations.
Adviser assistance to understand your AFSL compliance obligations and Licensee’s expectations.
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Sample size

No two Licensees are the same, so we offer flexibility to your preferred sample size.

Advice Assurance Reviews usually involve a consideration of up to four (4) files. 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 are often enough to provide a representative sample to assess, some Licensees prefer smaller samples (and more regular reviews) and we can accommodate these variations.

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Cost

The adviser audit, compliance issues and our creative solutions.

Our tailored services meet your business needs, only offering the elements that we feel would add value to your compliance operations.

The cost of our Adviser Assurance 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.
Our comprehensive adviser audit, review and consulting services are ready to help you exceed your compliance goals. Contact an AFSL compliance consultant to discover which service and package can help you.
 
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