Risk & Compliance Services

Compliance Documentation

Compliance documentation services to insurance brokers

Compliance Review

Comprehensive compliance reviews tailored for insurance brokers including their AR network and referral partner arrangements

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Compliance Training

Compliance training services for your team including Authorised Representatives.

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Compliance Advice

Have a compliance specialist ‘on tap’...Our deep knowledge of insurance regulation & distribution models empowers your business to adapt and remain compliant

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Compliance Advocacy Solutions

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Compliance Advocacy Solutions was launched by experienced insurance and compliance specialist Paul Muir in 2017 to provide specialised compliance services for the insurance industry during a time of significant and complex regulatory change.

Paul’s philosophy is that your compliance arrangements should be client-centric, fit-for-purpose and drive business value while protecting your clients, people, reputation, and investment.

Our services overview:

We are insurance industry compliance specialists and provide tailored customer-focused solutions to our insurance broking clients. Our approach to compliance is that your compliance arrangements must be fit-for-purpose, and tailored to what your business does and how it does it. Compliance must resonate with your people to be effective.

We have expertise in dealing with Insurance brokers with large Authorised Representative networks.

We offer a range of Compliance services for our clients, including:

1. Compliance Training - Financial Services laws, Insurance Brokers Code of Practice, Authorised Reps & Responsible Managers

2. Compliance reviews - not file-by-file audits but a holistic review of your compliance measures providing real business value

3. Compliance documentation - including Risk & Compliance Manual and AR monitoring & supervision program

4. Compliance Advice - you have a Compliance expert 'on-tap'

5. Compliance Licensing - new AFS Licence applications and variations.

Categories: Risk and Compliance

We may receive a commission from the product provider if you purchase a financial product through our referral. This commission does not affect the price you pay for the product. You should consider the product disclosure statement (PDS) for the product before making a decision to purchase. The PDS contains important information about the product, including the risks and fees involved. If you have any questions about our referral relationship with the product provider, please contact us.

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