About Us

Advice RegTech

image1

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


Advice RegTech is an award-winning regulatory compliance technology company, recognised as Compliance Innovator of the Year 2019 in the FinTech Business Awards. Advice RegTech are specialists 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 at the 2019 Financial Advice File Symposium, and is a regular participant on Industry Panels. 

Co-Founder and CEO, Samantha Clarke

image2

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.

Co-Founder and COO, Mickey Lynch

image3

 B.Com, Post Grad Dip IT 

Linkedin profile

 

Mickey Lynch has over 20 years' experience in enterprise software across all facets of the business from software development, implementation, customer support, sales & marketing, and business development, primarily in Financial Services.


In recent roles he was responsible for new market entry across AsiaPac.


Mickey has a real skill for analysing new markets, identifying gaps and entry opportunities, understanding product positioning and potential, quickly building strategic relationships, then creating and executing a go-to-market vision built on a strong value proposition.


Mickey has a Bachelor of Commerce, a Postgraduate Diploma in IT, and a background in accounting and finance. 

Industry recognition

Compliance Innovator of 2019

image4

Advice RegTech has been awarded Compliance Innovator of the Year 2019 in the FinTech Business Awards, as recognised as finalist in 2018 and 2017 in the Compliance Innovator of the Year category.   

Innovator of the Year 2018

image5

IT Innovation and Industry Advocacy

image6

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.


Memberships

Advice RegTech is a founding member of the RegTech Association

image7

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

image8

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