Our Services

We help you keep to give quality advice, quickly and efficiently and make running your licence straightforward.  

Support is provided on an ongoing basis in three vital aspects of your SMSF advice business within your practice.

 

AFSL compliance

Ongoing Australian Financial Services Licence (AFSL) compliance through:

  • Peace of mind your advice documents are ASIC compliant
  • Quarterly assurance checks to protect your Limited AFSL (via Virtual Risk Manager)
  • Compliance checklists and library
  • Regular updates and proactive prompts

Advice templates & AFSL documents

Templates to help you quickly & efficiently create advice documents:

  • Branded with your own business name & logo,
  • Client-friendly & well-articulated 
  • Easy to use & keep up to date
Pre-advice documents

Privacy policy

Financial Services Guide (FSG) for entities & advisers

Fact Find

PLUS Client File Checklist

Communicating your advice

Statement of Advice (SoA)

Record of Advice (RoA) – letter & e-mail

Execution only letter

Documents to help you to run and protect your Limited AFSL:

AFSL Pro formas

Add/remove a representative

Letter of authority

Conflicts of interest policy

RoA policy

Compliance meeting proforma

AFSL checklists & registers

Representative register

Soft dollar register

Complaints register

Breach register

Conflicts of interest register

Checklist for RM’s adding a representative

SMSF technical support

Maintain and enhance your SMSF competence and expertise with ongoing technical support and training:

  • Live and interactive technical CPD webinars to ensure you keep up to date with all legislation, rulings and cases relating to SMSFs
  • Technical library
  • Newsletters
  • Help desk to provide a valuable second opinion or sounding board for your advice strategies (minimum of 4 hours per annum).