Compliance services are delivered to our network through our Compliance and Professional Standards (CAPS) team. Our financial planners are audited once a year and are provided with a thorough audit report and consultation to ensure continued improvement in all areas of advice provision and business process.

Legislative and policy changes are communicated to our financial planners through timely e-communications as well as our PD days and presentations. Our CAPS managers are always available to answer any of your compliance queries.

Core compliance services include:

  • One annual audit of each authorised representative licensed at the start of each 12 month period, including the provision of an audit report to the licensee.
  • Access to compliance staff for discussion on compliance issues on an ad hoc basis during normal business hours.
  • Ongoing updating of compliance issues via a monthly newsletter and access to routine compliance training provided from time to time.

Additional compliance services include:

  • Compliance checking of promotional material generated by the licensee and/or its authorised representatives.
  • Assisting with assessment of new authorised representative applications.
  • Recommendations in relation to the termination of authorised representatives.
  • Assistance with reporting to any regulator on potential compliance breaches.
  • Assistance with provision of complaints handling and resolution services.
  • AFSL Licensee review.
  • Any other compliance services agreed to in writing by the parties.

Australian Financial Complaints Authority (AFCA) 2018/19 membership certificate

To find out more, please contact us today on 1300 566 732 or contact us here.

Flexible licensing options to fit your business

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Catalyst for financial planners

The program provides modules that gives businesses and individuals the opportunity to identify and harness their potential through the implementation of Catalyst consulting modules.

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