Schedule A Free Call

Articles

The Reviewers

A colourful well-organised file of client records

Why do record-keeping failures turn minor advice issues into reportable breaches?

April 13, 2026

If you can't evidence the decision, regulators won't assess the intention, they'll assess the gap. That gap is what turns minor issues into reportable breaches.

Reviewers’ Hot Takes: Four paths to better advice

November 13, 2023

Smarter Compliance. Explore essential strategies for financial advice compliance and risk management in Assured Support's article. Drawing from over 19,000 file reviews, we cover risk profiling, product research, and service compliance. Gain from real case studies and expert analyses to improve advisory practices, align with client needs, and meet regulatory standards. Essential reading for financial advisers committed to excellence.
Risk Advice: Reviewers' Hot Takes

Risk Advice: Reviewers’ Hot Takes

August 30, 2021

“Those who cannot change their minds cannot change anything” — George Bernard Shaw Subscribe De-risking risk advice Considering that the Assured Support Team has reviewed well in excess of 11,000 adviser files, we are well placed to identify recurring issues. Normally, we start with objective data, but in the warm glow of the new financial year, we thought we’d shake things up a little by highlighting subjective observations. In this article, three of our Senior Consultants identify where advisers are struggling with risk advice and, by focusing on specific issues, offset their observations with practical suggestions. You may be surprised

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?