Navigate Advice Compliance
with strategy & efficiency
SERVICES
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Tailored Client File review with observations and recommendations
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Targeted reviews
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Privacy and Notifiable data breaches
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Compliance Review Report
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Operational Risk review
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Business process improvement
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Phone and email support
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Support relating to remediation of compliance breaches
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Risk and Compliance consulting
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Compliance Training and coaching
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Regulatory liaison e.g. ASIC notices, OAIC inquiries
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Ad-hoc reviews and projects
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Reg-tech
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and much more
WHY CHOOSE US?
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Require Assurance work relating to advice i.e. an independent and impartial review of client files
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Applying for an AFSL and require compliance assurance regarding client file quality.
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Accountants seeking compliance support
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Pre-Compliance Audit Review
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Exit Audit review support
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Licensee On-Boarding of Authorised Representative Reviews
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Would like to provide risk and compliance training to your team to further embed a positive risk and compliance culture
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Purchasing a new advice practice and require review of a new book of clients
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Entering into a partnership and require a review of risk and compliance practices and files
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Advisers who are moving to a new licensee
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Independent and trusted compliance experts
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Risk and compliance assurance relating to a change in your business' operating environment
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Risk and Compliance review of business processes
Expertise
Advice Compliance Support (ACS) provides the expertise, support and trust to advisory businesses so that they can continuously improve their processes, customer experience and business strategy whilst remaining cost effective, commercially pragmatic and most importantly, helping to ensure compliance.
ACS is ideal for:
Dealer Groups/Licensees that require support relating to monitoring and reporting on their compliance and implementation of measures. ACS can support monitoring and supervision activities and risk and compliance projects within your network that can include regular review of exiting measures to ensure they remain effective in addition to advice file reviews.
Advisers and/or Accountants who require pre or post-compliance audit support. ACS can assist in the identification, assessment and management of your internal and external obligations.
In today's highly regulated Financial Advice Industry it is critical that AFSL holders and/or Financial Advisers (Authorised Representatives) meet their ongoing obligations and standards of professional conduct to ensure that their business remains viable.
Whist ACS conducts Client File Review services, our experience tells us that our risk and compliance methodology not only supports an adviser in managing their compliance requirements relating to the provision of financial advice, it's a great opportunity to identify and optimise areas of their business identified through the review.
Contact us today to create a tailored support package that suits your business.
CONTACT US
