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The Compliance module ensures that AFSL compliance meet all their primary obligations in relation to client service delivery and financial transaction management.
Implementing the Compliance model effectively prevents accidental or deliberate breaches of AFSL obligations by individual licence holders.
Transparent capture of all financial advisory and transactional dealings also ensure rapid and successful dispute resolution.
The Compliance module significantly reduces time and effort required of individual AFSL holders to demonstrate compliance.
Automation of ROA/SOA emails based off client profiles, auto-generation of OFA FDS letters and many other tasks removes a huge weight of administrative burden from Advisers’ shoulders, freeing them up for more profitable pursuits.
The Compliance module empowers business managers to assess individual and team performance across a range of key metrics.
For larger businesses, the Compliance module provides transparent visibility of individual Adviser behaviours and adherence to best practice standards.
It empowers them to minimise the behavioural risks that could undermine their precious brand reputation. Complii offers comprehensive client compliance solutions Trust our expertise for seamless regulatory adherence Learn more today
