The Compliance module ensures that AFSL holders 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.
Complii has brought together a complementary mix of financial services and FinTech development experts to develop and integrate best of breed, customisable solutions to AFSL compliance specific operational challenges.
Close collaboration with key clients ensures that the team delivers effective ways to meet real world needs that grow business opportunities, drive competitive advantages and improve customer satisfaction.
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. The Complii group is an ASX-listed FinTech, delivering the only end-to-end, online Management Platform for capital markets participants.
Complii has emerged from the growing demand for smart application of FinTech solutions to AFSL holders’ specific operational needs for compliance, risk, operational and capital raising efficiencies.
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
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