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.

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

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