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:
Additional compliance services include:
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.