Signed in as:
filler@godaddy.com
Advice file checking efficiency, where you remain in control
Using machine assistance and Optical Character Recognition, embedding our teams deep industry knowledge, SAMI can read and help you efficiently check advice pre or post issue to clients.
SAMI empowers efficient checking and assessment of Paraplanning, Prevet, Postvet, Audit, of
- Statement of Advice
- Records of Advice
- Financial Services Guide
- Ongoing Service Agreement
- Paraplanner Requests
- Fee Disclosure Statements
- File notes
- Risk Profiles
- Strategy Documents
as well enabling Breach and Remediation Reviews and Adviser Onboarding and Reference Checks.
SAMI makes it easy to upload files and handles nearly every file type from a range of advice generators such as Xplan, AdviserLogic, and Midwinter, across Word, PDF, excel, powerpoint, images png, jpeg, emails msg, eml, file note attachments ++. Yes, even photos from your whiteboard and those handwritten file notes, SAMI will quickly highlight relevant information to support your advice file checking.
SAMI also supports your value and the personalisation efforts you put into your advice to clients. If SAMI can’t find what the Licensee template states should be in a certain place, SAMI will check to see if you have this someone else in the document. No one likes cookie cutter advice and now you can personalise and not waste time explaining where to find the required information.
Enables self-checks, and faster pre-vets
Checking advice is now easier for you and your support crew to do on all files pre-issue of SOAs and related documents, and ROAs to clients. Catch issues quickly to quickly cross check that your documents align with Licensee and regulatory requirements to support the delivery of clear and appropriate advice to your clients.
So how long does this add to the process? SAMI provides the initial check in minutes and then enables validation quickly of subjective areas, allowing you or your reviewer to check the document/s via a guided tour through the relevant areas of the documents. No more waiting hours or days for pre vets.
Save more time through bulk-uploads and CRM Integration
SAMI can process files that you drag and drop bulk upload from your folders, and/or via easy-select from overnight integration with your CRM, eg from systems like XPLAN.
Proactive coaching support
SAMI provides real-time highlights of relevant sections for your review and validation, triggering potential risks for quick resolution pre-issue of documents to clients, providing guidance on relevant obligations, best practices and your Licensee professional standards. Workflow allows you to assign a task to your compliance team to confirm a requirement or for a one-off approval.
Create private and shared advice notes at a specific question / section level or for the full document. Highlight and comment to outline and provide feedback on your file reviews.
Engaging and beneficial Advice Audits
With digital assistance for your advice file reviews, your review report is viewable online to share securely in-app with permissioned stakeholders. No more anxiety waiting to see if something needs to be corrected, or has been actioned. SAMI helps takes the pain away and makes the compliance audit process valuable and instantly beneficial for all stakeholders in your workflow.
Collaborative risk management
SAMI checks and highlights what areas in your advice documents need to be checked, identifying potential omissions, inconsistencies or risks in advice files, to allow these to be quickly addressed. SAMI highlights regulatory, professional standards and Licensee Key Risks to enable efficient further review and compliance uplift.
Up to date legislation, regulatory guidance, and Licensee policies are used together with your template and applied to your advice files through SAMI's real-time processing capability. This significantly reduces the time to review and for you to deliver advice to your clients and assists with regulatory obligations, record-keeping related to quality advice reviews, and Licensee-specific requirements.