IndustriesFinancial Advice Practice

From the fact find to the advice, with every register kept.

For financial planners and advice practices, licensed in their own right or authorised under a licensee. Tell us about your practice and we will call you to walk you through it.

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Two armchairs either side of a round timber coffee table set with a leather folio, a pen and a pot of tea — AI-generated image

From first meeting to fact find

An onboarding link the client fills in online, risk profiles, and meetings recorded with everyone’s agreement, with a file note drafted from the transcript for the adviser to check.

Advice through one gate

Statements and Records of Advice written section by section, pre-vetted, attested by the adviser, and issued only when the gate finds every required element written and attested. Each one is kept for seven years.

Fees with the client’s consent

Ongoing fee arrangements with consents to enter, renew and deduct, signed by the client in their portal, and a to-do before each renewal window closes.

The licensee’s registers

Breaches, complaints with ASIC’s IDR data, conflicts, CPD, AML/CTF, privacy requests and the other registers, each with its clock on the to-do list.

Questions

What people ask us

Talk to us

What happens when we get in touch?: We call you, learn how your practice runs, and walk you through it on your own work.
Can our licensee see our registers?: Only what your practice gives it access to. Every look is logged where your practice sees it.