Within the financial advice sector compliance regimes and checklists are too often confused with risk management and much of what has become industry paradigm over time is not now (and frankly never was) fit for purpose if the objective is to properly manage inherent risks.
We have been running our enhanced risk management framework since 2018. It has been built to facilitate the creation of quality advice in a commercially viable (and timely) manner while ensuring it will meet community standards and withstand rigorous regulatory scrutiny. Its cornerstone is our proprietary pre-emptive peer review process that is supplemented by our practice peer review program.
Our pre-emptive peer review process achieves five key outcomes:
Our proprietary risk management framework is offered on a hybrid subscription/user pays model and is available exclusively to boutique licensees and self-licensed practices with an ongoing subscription to our policy suite.Discover more today