Comprehensive Legal and Compliance Support
Leveraging our strong partnerships with trusted third-party providers, we offer expert assistance in navigating complex legal and compliance requirements. From regulatory guidance to ongoing compliance management, our network ensures you have access to the right support, helping you stay compliant and focused on your core business.
Legal documentation and Client Protection
Our legal partners can assist and support you with securities law, and regulatory frameworks to effectively support the stockbroking firm’s operations.
- Securities Law
- Contracts and Agreements
- Dispute Resolution
- Corporate Governance
- Risk Management
- Privacy and Data Protection
- Taxation
- Employment Law
Regulatory Compliance and Client Protection
- Facilitates adherence to primary AFSL obligations in client service delivery and financial transaction management
- Prevents accidental or deliberate breaches by individual license holders
- Enables transparent capture of all financial advisory and transactional dealings
- Supports rapid and successful dispute resolution
Compliance
Use our compliance partner Complli to ensure that AFSL holders meet all their primary obligations with client service delivery and financial transaction management.
We can recommend our AFSL lease partner, Complii.
Performance Management and Risk Mitigation
- Provides business managers with tools to assess individual and team performance across key metrics
- Offers transparent visibility of individual adviser behaviors and adherence to best practice standards
- Enables proactive management of behavioral risks that could impact brand reputation
- This is particularly valuable for larger businesses managing multiple advisers
Efficiency and Productivity
- Significantly reduces time and effort required to demonstrate compliance
- Automates key processes, including:
- Generation of ROA/SOA (Record of Advice/Statement of Advice) emails based on client profiles
- Creation of OFA FDS (Ongoing Fee Arrangement Fee Disclosure Statement) letters
- Alleviates administrative burden, allowing advisers to focus on more profitable activities
