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Robots, regulation and redundancies.

  • Digital Compliance
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Digital advice is the topic du jour for licensees facing rising costs, shrinking margins and a war for talent, but it’s not a plug and play solution. Despite the appeal of fintech, they’ll still face heightened scrutiny, compliance hurdles and distribution challenges.

If you’re just dipping your toe into the water, this report from Planet of Finance is an excellent place to start. It’s an engaging overview of robo-advice with a focus on the international experience. 

To paraphrase Luis Rivera, the CEO of ETFMatic “Advising is necessary, advisers are not.“

If you’re after a perspective of the local requirements read our articles on “Compliance and Digital Advice” and “The promise of digital advice”. 

Keep exploring

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.
An adviser stands looking at solid foundations and knowing that great things can now be achieved

The floor has risen on advice quality. The ceiling hasn’t.

August 17, 2026

Six years of independent review data show a material shift in advice quality. Across 9,315 reviewed files, Poor and Very Poor advice fell from 20.9% to 10.0%, while Sound advice rose to 88.2%. The Advice Quality Index 2026 shows the floor has risen within the reviewed population. The next challenge is raising the ceiling.

Robots, regulation and redundancies.

  • Digital Compliance

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