Founded in 2017, Advice RegTech is proud to serve Australia's AFSL Advice sector with leading technology for governance, risk and compliance oversight.
Advice RegTech is an award-winning regulatory technology business supporting Licensees, Advisers, Compliance and Paraplanning teams, with software for AFSL obligations management, Advice File reviews and record-keeping.
Advice RegTech's Supervision and Monitoring Intelligence software called SAMI, was awarded Compliance Innovator of the Year 2019 at the Fintech Business Awards, and was selected to demonstrate at ASIC's RegTech events including the 2019 Financial Advice File Symposium.
SAMI is a compliance system-of-record for Reviewers' advice file decisions, with workflow features to support action assignment and efficient escalation. SAMI is designed to support Licensee oversight of best interest duty and related obligations, with dashboard reporting and drilldown on Reviews - key for proactive management, for record keeping look-back, for thematic audits and for ongoing uplift for both Reviewers and Advisers. More