Complete solutions for financial services compliance in Australia.
Adviser Monitoring and Supervision
Access an easy to use calendar to plan and manage audit financial planners. Generate, monitor and follow-up on the chosen action plan.
Access enhanced Breach register capability. This helps licensees ensure adequate arrangements to comply with their obligations to identify and report all significant breaches (or likely breaches) under RG78. This includes breaches identified via audits, complaints or incidents.
Utilise a centralised document management system to maintain all types of documents and then link it to different entities. The document repository is supported by an additional robust search functionality.
Access to options for annual reporting and timely alerts for financial and non-financial data.