Schedule A Free Call

Presentation Notes: The rise of reg-tech and the ‘art’ of the SoA

  • Advice Governance, Ethics & Professionalism
ChatGPT Claude Gemini Grok

In a four-state tour in March 2018, one of our team, Sean Graham, spoke at the ifa Business Strategy Day on “The rise of regtech and the art of the SoA“.

Positioned as an “update on the compliance and legislative landscape”, the session challenged industry assumptions about disclosure, independence and professionalism and demonstrated why an investment in regulatory technology is critical for sustainability.

It was a fearless, provocative and challenging assault on risk aversion, complacency and fear of accountability.  Thankfully, advice professionals interested in growth, value and relevance don’t avoid either accountability or opportunity. 

Momentum media will provide the PowerPoint Presentation to all attendees. The Presentation Notes are available below. 

download presentation notes

You might find the following articles complementary (and perhaps more current)

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 We examine why the current thresholds are outdated and how the framework could better protect genuinely retail investors.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.

Presentation Notes: The rise of reg-tech and the ‘art’ of the SoA

  • Advice Governance, Ethics & Professionalism

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?