Supervision and Monitoring Intelligence
Proactive, pre-emptive monitoring and oversight, is the future of Financial Services.
Advice RegTech is an award-winning specialist in Financial Services Regulatory Technology, with a compliance software platform designed to support your paraplanning and compliance teams prevet reviews and audits of advice files.
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 support the efficiency and record keeping of Reviewer's assessments 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.
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 re-reviews and for ongoing uplift for both Reviewers and Advisers. More