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How SAMI can help you in your role
Advisers and Paraplanners
Licensee Compliance and Professional Standards Teams
Licensee Compliance and Professional Standards Teams
Advice Checking Efficiency
SAMI software with document checking highlights, and CRM integration for document and datafeeds, can enable you and your team to cross-check multiple related advice files faster.
Effectiveness of Pre-vet Advice Reviews
Enables you and your paraplanners and reviewers to uplift as well as evidence the verification of quality and compliance of documents before release to clients.
In-built Guidance for Consistency and Coaching
Enables checks and consistency of decisions and coaching for Paraplanners, Advisers and Reviewers.
Licensee Compliance and Professional Standards Teams
Licensee Compliance and Professional Standards Teams
Licensee Compliance and Professional Standards Teams
Post-vet Audit Effectiveness
SAMI enables efficient implementation checks, adviser file audits, plus remediation reviews, with a choice of in-built question sets and risk tags, customisable for your AFSL policies and preferences.
Adviser Onboarding and Pre-vets
Enables robust reviews and assessment of potential risks as part of your new adviser diligence process.
Remediation
SAMI enables bulk file reviews of existing and historical files, inclusive of workflow and process management for structured investigative audits, collaboration and coaching action plans, plus incident escalation and breach reporting options.
Licensee and Practice Management
Licensee Compliance and Professional Standards Teams
Licensee and Practice Management
Advice Document Storage
Record-keeping solution for advice files and related documents to support your obligations and ability to evidence your quality of advice reviews, regardless of the advice generator used.
Risk and Compliance Reporting
The SAMI Dashboard includes real time reporting of compliance results, risks and trends, including instant drilldown to detailed reporting for pre-emptive coaching and action assignment.
Data Analytics
Insights for licensees to benchmark and improve processes, templates, training and business outcomes.
Advice RegTech Solutions
AFSL Licensee Management Solutions
SAMI Financial Advice File pre-vet and audit system-of-record
SAMI Financial Advice File pre-vet and audit system-of-record
Streamline Governance, Risk and Compliance management with modules designed for efficient and effective oversight of AFSL obligations management, registers, complaints reporting, and more.
SAMI Financial Advice File pre-vet and audit system-of-record
SAMI Financial Advice File pre-vet and audit system-of-record
SAMI Financial Advice File pre-vet and audit system-of-record
For Licensee oversight and record keeping of Reviewers' prevets and audits of advice files. Our vision is to help reduce the cost and burden of compliance for advisers, licensees, professional bodies, and regulators. Assisting Licensee oversight of best interest duty and related obligations.
KRIS: Key Risk Indicator Solutions
Consulting: RegTech subject matter expertise and IT project implementation
Consulting: RegTech subject matter expertise and IT project implementation
ASIC’s Report 515 of large institutional advice compliance, reported that the industry met audit process and review standards only in 1 in 4 cases.
To help Licensees raise the effectiveness of their advice compliance efforts, Key Risk Indicator Solutions (KRIS) reports the risks and trends from the advice file reviews.
Consulting: RegTech subject matter expertise and IT project implementation
Consulting: RegTech subject matter expertise and IT project implementation
Consulting: RegTech subject matter expertise and IT project implementation
Advice RegTech provides RegTech subject matter expertise and IT Consulting. For AFSLs, professional services firms, associations and regulators, we offer consulting and solutions. Advice RegTech can assist with project consulting, tech solutions and speaking engagements.