Proactive, pre-emptive, real time monitoring and oversight, is the future of Financial Services.
Advice RegTech is an award-winning specialist in Financial Services Regulatory Technology, with B2B software designed to enable your compliance teams to be more efficient and effective.
Scale up the productivity of your financial advice file reviews checking for compliance with best interest duty to consumer obligations.
Advice RegTech's subject matter expertise, collaborative partnership approach and technology solutions can be leveraged by your inhouse teams and your professional services firms, to enable effective and efficient monitoring and oversight of Statements of Advice and related files.
Australia has been recognised as an emerging global centre of RegTech excellence. Advice RegTech is at the forefront of this.
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.
The Royal Commission into Banking and Financial Services has exposed massive regulatory compliance issues and inefficiencies, especially around financial advice not being vetted early to be in customers best interest.
Designed to solve for this at source, Advice RegTech’s SAMI software helps to pre-check advice documents for regulatory compliance in an engaging and effective way. It enables pre-emptive, proactive risk management, reducing the compliance review burden. It is designed to scale the effectiveness of AFSLs and reviewers, to enhance outcomes for all stakeholders - Licensees, Professional Service firms, Financial Planners and Consumers.
SAMI is compliance software and a system-of-record for licensee's oversight of advice quality and audit effectiveness. SAMI is designed to support Licensees oversight of best interest duty and related obligations. More