File reviews and pre-vetting of advice files should be a key part of your overall risk mitigation and monitoring and supervision program. It can ensure that your clients receive accurate information and quality advice from your representatives.

Our vetting services seek to identify poor quality advice and strategies prior to them being introduced to clients and therefore protecting your clients and reducing the risk of having to report a breach to ASIC.

Our services include:

• Use of a standard scorecard to assess compliance with financial services laws
• We assign an outcome rating to each file
• Debriefs, training and coaching can be provided to representatives and staff
• We provide you with a report and remedial action plan