Independent, risk-weighted adviser file reviews and advice assurance services that assess advice quality, identify risk and support defensible compliance outcomes.
Adviser reviews should identify material risk, improve advice quality and deliver consistent client outcomes.
Adviser reviews are ineffective if they assess compliance only against minimum standards. They should identify what is working, what is not, and what needs to change to improve advice quality and client outcomes.
At Assured Support, we take a structured and risk-weighted approach to adviser file reviews. We focus on the substance of the advice, not just technical breaches, and provide clear, practical guidance that can be implemented across your adviser cohort.
Our reviews are designed to help you:
We prioritise material issues that impact advice quality and client outcomes. This enables you to take meaningful action to improve advice and reduce risk.
Our adviser reviews are informed by our experience reviewing over 24,000 advice files and are designed to strengthen advice quality and reduce risk while remaining practical and scalable.
Most engagements involve a review of up to four (4) advice files per adviser. This is typically sufficient to identify patterns in advice approach, documentation and risk.
Where required, we can adjust the sample size based on the experience of the adviser, the complexity of the advice provided or the specific risks being assessed. In some cases, smaller and more frequent reviews are used to support ongoing monitoring and coaching.
Our approach is flexible, but always focused on providing insights that are reliable, actionable and proportionate to the level of risk.
Our adviser review services are tailored to the nature, scale and complexity of your business, ensuring the scope is proportionate to the level of risk and the outcomes you are seeking.
Pricing is typically influenced by:
We will work with you to define a clear and appropriate scope, so you understand exactly what will be reviewed, what you will receive and how the review will support advice quality and risk management.
We can provide an indicative scope and pricing range following an initial discussion.
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.
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