About Us

Advice RegTech

Driven by a commitment to financial services innovation, sector efficiency and consumer outcomes.


Advice RegTech is a regulatory compliance technology and consulting company specialising in the financial services sector. Solutions are designed to meet the needs of licensees, regulators and professional bodies to pre-emptively improve financial advice compliance and oversight of Best Interest Duty to consumers. 

  

Advice RegTech is at the leading edge of regulatory compliance checking technology. Solutions are designed to make compliance checking against regulations and organisations’ policies, more easy, efficient, effective and enjoyable, for scale productivity. 


Solutions are for AFSLs with internal compliance functions, and their professional service firms, to enable exponentially efficient and effective audit support and risk monitoring. Advice RegTech solves the problem of traditional manual and costly compliance review processes where there are multiple documents to check, and a series of checklist questions to work through. Where traditionally only a sample of files can be reviewed, often after the event, the Advice RegTech engine will enable scale productivity and identification of issues earlier.

 

This will be delivered through a human-assisted machine learning AI platform, that by design, will be guided by, and help guide, the community of expert compliance users, including upskilling junior reviewers. Ask for a demo of our user-friendly digital auditing assistant for AFSL’s for financial advice file compliance with best interest duty obligations.


Advice RegTech is a member of FinTech Australia and is a founding member of the RegTech Association.


Advice RegTech was also selected to showcase at the inaugural ASIC RegTech Showcase in September 2017, and is a regular participant on Industry Panels at ASIC's RegTech Liason Forums and RegTech sector 

Advice RegTech's CEO, Samantha Clarke

Samantha Clarke photo

M.Bus, B.Com, GAICD, FIN SA 

Linkedin profile


Samantha brings 25 years experience in executive director and consulting roles in financial services spanning policy, strategy, customer, marketing and distribution, product development, technology and innovation, for multi-nationals, and start-ups, in Australia and overseas. 


Prior to Advice RegTech, Samantha was GM for a peak association responsible for Policy & Professionalism, Government and regulator relations, including policy consultation on the development of the Professional Standards of Financial Advisers legislation. 


Samantha is committed to improving outcomes for the industry through initiatives that raise consumer trust and confidence in the quality of advice and products, as well as the efficiency of, the financial services sector.


Samantha Clarke has been recognised as Innovator of the Year 2018, and in 2017 for IT Innovation as well as Industry Advocacy in Money Management's 2018 Women in Financial Services Awards.  Samantha was also awarded finalist in the Women in Finance 2017 awards for Association Leadership.

Industry recognition

Innovator of the Year 2018

Compliance Innovator

Advice RegTech has been recognised in the FinTech Business Awards in 2018 and 2017 as a finalist in the Compliance Innovator of the Year category.   

APAC CIO Top 25 Provider

Advice RegTech was recognised by APAC CIO as one of the top 25 Compliance Providers, April 2018.  Link through to read the article on Advice RegTech on page 25.

IT Innovation and Industry Advocacy

Advice RegTech's Samantha Clarke was awarded 

- Industry Advocacy

- IT Innovator 

in Money Management and Super Review Women in Financial Services Awards.

Driven by a commitment to innovation and sector efficiency for licensees, banks and wealth managers to deliver on consumer outcomes.


Industry Leadership

Samantha Clarke was awarded finalist for the Association Leader of the Year category in the Women in Finance awards in September 2017.

Memberships

Advice RegTech is a founding member of the RegTech Association

Elevating the ecosystem through collaboration - Australia's RegTech Association.  


Advice RegTech plays an active role in the association to support the growth of the sector, with Samantha Clarke supporting the Association's community, regulator and government relations.  

Advice RegTech is a member of FinTech Australia

 FinTech Australia aims to make Australia one of the world’s leading markets for Fintech Innovation and Investment.   

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