Compliance Reporting for Financial Services
Transform your financial services compliance reporting with custom automation built by Harvard-educated experts. Measurable outcomes in 4-8 weeks, backed by 98% client retention.
Expected Outcomes
Measurable results our financial services clients achieve with compliance reporting.
Fee Disclosure Statements that required manual compilation for each client are now generated automatically from advice platform data.
Reportable situations are identified, documented, and reported to ASIC within regulatory timeframes through automated workflows.
Client file audits are pre-populated with data from advice platforms, allowing compliance officers to focus on quality assessment rather than data gathering.
The Challenge
Common compliance reporting challenges facing financial services businesses.
Fee Disclosure Statements manually compiled for hundreds of clients each year with high error risk
AFSL breach register and reportable situations tracking managed through informal processes
Client file audits consuming weeks of compliance officer time due to manual data gathering
Adviser CPD tracking and FASEA education standard compliance monitored inconsistently across the practice
Implementation
How we implement compliance reporting for your financial services business.
Connect Advice and Compliance Platforms
We integrate your financial planning software like XPLAN or Midwinter with ASIC reporting systems, AFSL compliance tracking, and client file audit databases.
- ✓ Tools: XPLAN, Midwinter, Make, Airtable
Generate ASIC and AFSL Compliance Reports
The system produces Fee Disclosure Statements, client file audit reports, breach register summaries, complaints handling reports, and AFSL annual compliance returns.
- ✓ Tools: Make, Google Docs, PDF Generator
Track Regulatory Obligations and Deadlines
FDS delivery deadlines, opt-in notice periods, breach reporting windows, AFSL annual statement dates, and CPD requirements for all advisers are tracked with automated escalation.
- ✓ Tools: Google Calendar, Slack, Make
Maintain ASIC Audit-Ready Records
Statement of Advice records, client consent documentation, fee arrangement evidence, and compliance monitoring outcomes are stored with full traceability for ASIC surveillance reviews.
- ✓ Tools: Google Drive, Airtable, Make
Why Choose Clever Ops
What makes our compliance reporting solution different.
Fee Disclosure Automation
FDS and opt-in notices are generated automatically from client fee data, formatted to ASIC requirements, and tracked through to delivery confirmation.
Breach and Complaints Management
The breach register, reportable situations workflow, and complaints handling process are systematised with automated ASIC reporting within regulatory timeframes.
Client File Audit Streamlining
Compliance audits of client files are pre-populated from XPLAN or Midwinter data, with automated checklists aligned to licensee and ASIC requirements.
Adviser Compliance Monitoring
CPD hours, education standard compliance, authorised representative status, and supervision requirements are tracked centrally for every adviser in the practice.
Financial Services Compliance
Built with ASIC regulatory requirements, AML/CTF compliance, and AFSL obligations in mind. Includes audit trails meeting APRA prudential standards.
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Frequently Asked Questions
Frequently Asked Questions
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