We approach “compliance audits” differently because we believe that advisers should aspire to consistently providing exceptional advice, rather than simply complying with minimum industry standards. 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.
Correctly identifying problems, or even opportunities for improvement, is only a limited benefit unless it’s supported by a practical, commercial and considered approach to dealing with them.
This is our unfair advantage.
You review your advisers to ensure they comply with the financial services laws and your license. Shouldn't your business get a regulatory health check to ensure that you don't uncover issues when it's too late to address them.
Our methodology won't get in the way of your business decision, but it may very well ensure you don't make an expensive or critical error.
Web-apps and platforms
Experience, expertise and deep understanding built into an intuitive platform that will lessen your compliance burden. Use as much or as little as you need to enhance your compliance framework.
Sometimes, an objective party with a fresh set of eyes is exactly what's needed.
We can help you build, and implement, a consistent, predictable and effective remediation and consequence management framework. Better yet, we can run or support your remediation program to ensure it meets stakeholders' expectations.
Financial services, regulation and compliance can be complex, confusing and intimidating - but it doesn't have to be. Our workshops address these matters through simple, effective and engaging training.
Our presenters are superstars. We might not pack out arenas but our passion, knowledge and enthusiasm means 'compliance' will be addressed so well you won't want us to finish.
Objectivity, empathy and commerciality are the hallmarks of our disputes resolution service. We'll resolve the identified issues and identify the underlying causes you need to address to prevent FOS or ASIC identifying recurring or systemic issues.
Sometimes it's difficult to find a way to avoid trouble and harder to find a way out of trouble. We think you'll benefit from experience, objectivity and understanding.
Phone based support
Real live people to answer your compliance questions in real time. Better yet, friendly compliance experts who are genuinely interested in helping you out.
Responsible Manager Training
Our RM Workshops use engaging content and challenging case-studies to contextualise and reinforce your legal and professional obligations (and address the Regulators' expectations).
Newsletters and Updates
Get information, advice and analysis before you need it and written so that you'll want to read it. Expect to be challenged, amused and informed.
Policies and Procedures
You need measures, processes and procedures appropriate for the nature, scale and complexity of your business. We can help and ensure that they're current, practical and effective.
Tailored compliance training customised to the specific needs and interests of your business. Don't worry, it's still fun, engaging and effective.
Risk and Obligations Management.
Attestations, certifications, automated actions and escalations all built around clear metrics and compelling dashboards.
AFSL Applications and Variations.
We can make your application process easier, we can help you build or demonstrate your capacity or simply ensure your license matches your business and your clients' needs.
Benchmarking, metrics and analytics
Our investment in technology and our long-term and active engagement in the industry means we have the capacity (and the data) to provide benchmarking information based on proven metrics and analytics.
Technology and System Solutions
Experience, expertise and a passion for innovation equip us to enhance your existing systems to optimise your compliance framework.