Advice Compliance

The focus of Adviser Network’s compliance framework is to re position compliance to be a proactive strength for your business. It will be a support for you and your advisers to provide both compliant and commercial advice. Our primary focus is to ensure that members who seek advice from any adviser, either licensed through Adviser Network or via your own AFSL, can be confident that their adviser is following a compliant process, focused on their best interest.

Advice Compliance

Our Advice compliance offer encompasses four components, these are:

  • Compliance framework;
  • Reporting;
  • Compliance consulting; and
  • Audit processes

Our compliance framework is support by the Adviser Network Compliance Committee. This committee oversees the compliance activities of Adviser Network and its licensed businesses which ensures that any emerging regulation or trends are understood and the business is positioned to respond accordingly. This extends to supporting the business in the event of systemic compliance issues or client complaints.