Schedule A Free Call
Advice Assurance: Data + Insight

Advice Assurance: Data + Insight

  • Digital Compliance
Advice Assurance: Data + Insight
ChatGPT Claude Gemini Grok

“Integrity has no need of rules”

— Camus, Albert “The myth of Sisyphus” (1942).

Integrity may have no need of rules but, in a highly regulated and frequently changing environment Licensees both need rules and an effective and predictable way of monitoring them.

Although we take a constructive approach to compliance, our risk-based methodology and our focus on behaviours and operational risk, not only addresses your compliance risks but provides you with significant insights.

We’d like you to understand our methodology and the insights it can provide to you and your business. If you have questions, we have answers.

Keep exploring

Satirical image of an extravagantly wealthy, foolish-looking man surrounded by luxury items and cash, with the text “Fixing Wholesale Definitions.”

Australia’s wholesale client test needs urgent renewal

September 8, 2026

Australia’s wholesale client test can treat wealth as a proxy for financial sophistication. We examine why the current thresholds are outdated and how the framework could better protect genuinely retail investors.
ASIC Corporate Plan 2026–27 illustrated by a smiling, imposing businessman in a suit standing at an office entrance

Easier To Deal With. Harder To Avoid.

August 31, 2026

ASIC wants to be easier to deal with for businesses trying to comply — and harder to avoid for those causing harm. Here’s what ASIC’s 2026–27 Corporate Plan means for boards, Responsible Managers and compliance teams.
Determined financial adviser with a suitcase tries to leave while an impassive grey-suited licensee blocks the stairs.

Adviser exits aren’t delayed by compliance. They’re delayed by control.

August 27, 2026

Leaving a financial advice licensee should be straightforward. Too often, ambiguity around compliance, client communications, records and authorisation gives the incumbent licensee leverage. Here’s how advisers can recognise it, reduce dependencies and prepare before they resign.

Advice Assurance: Data + Insight

  • Digital Compliance

Subscribe

Every fortnight “Three Hit Tuesday” delivers thought leadership, considered analysis and insights that will help you improve your advice, more effectively manage your regulatory risks and make you better informed than your peers.

AS-Subscribe Form

"*" indicates required fields

This field is for validation purposes and should be left unchanged.

We respect your privacy. We know everyone says that, but we promise that we won’t sell your contact details to dodgy telemarketers, spam your email or otherwise exploit your trust.

Step 1 of 8 - Your Role

This field is for validation purposes and should be left unchanged.

Assess your ASIC exposure

Answer a few targeted questions to identify where your compliance may not stand up under ASIC review.

Takes less than 2 minutes. No preparation required.

What best describes your role?