Privacy Governance Archives

Step 1 of 8 - Your Role

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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?

Licensee

Adviser

Compliance/Risk

Practice Owner

Other

How many advisers operate under your licence or business?

Just Me

2-5

6-20

20+

As scale increases, so do oversight expectations and evidence requirements.

How confident are you your advice files would pass ASIC review?

Very Confident

Mostly Confident

Unsure

Not Confident

ASIC assesses evidence, not intent.

Does your compliance infrastructure operate consistently in reality?

Yes, consistently

Mostly, with some gaps

Not consistently

Not sure

Documented processes don’t always reflect actual behaviour.

When was your last independent compliance review?

Within 6 months

6-12 months ago

Over 12 months ago

Never

Anything beyond 12 months increases exposure

Is your adviser training aligned with current ASIC expectations?

Yes

Partially

Not sure

Training doesn't reduce exposure unless it is current and applied in practice

Have you had any compliance issues, breaches or complaints recently?

Yes, resolved

Yes, ongoing

Prefer not to say

Past issues increase scrutiny, even where they have been resolved.

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Total Score

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We’ll walk you through where your risks are and what to do next.

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COMPLIANCE

REVIEWS & AUDITS

LEGAL

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RESOURCES

EVENTS

CLIENT STORIES

Privacy Governance

How should advisers manage cybersecurity incidents and when must they notify regulators or clients?

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