The Fourth Line bionic review process-augments an automated algorithmic approach to reviewing advice with critical human oversight
File Review Reports detailing advice summary, product switches, fees, detailed comments and potential red flags
The Fourth Line bionic review process-augments an automated algorithmic approach to reviewing advice critical human oversight
What We Review
Statement of Advice
Fact Find
Risk Profile
Notes
Our Bionic
Approach
Fourth Line developed a rigorous 100-point compliance check in conjunction with Mills Oakley lawyers which covers…
Demonstrate how you act in your client's best interest
Bionic RegTech augmented by human oversight
Deep insight into the risks in your advice process
Data-driven advice analytics and benchmarking
Our Bionic Approach
Fourth Line developed a rigorous 100-point compliance check in conjunction with Mills Oakley lawyers which covers…
Demonstrate how you act in your client’s best interest
Bionic RegTech augmented by human oversight
Deep insight into the risks in your advice process
Data-driven advice analytics and benchmarking
Our Products and Services
Pre-Advice Review
Verify the quality and content of advice before it is issues
Data Analytics
Insights for licensees to advance advisor and business outcomes
Document Storage
Single storage solution to meet regulatory obligations
Post-Advice Review
Ongoing review process to meet regulatory obligations
Risk and Compliance Reporting
Standard and customisable data and reporting
Development Oversight
Enables compliance officers to become advice coaches
Due Diligence
Creating insights into the merits of an acquisition target’s regulatory risks
Advisor Reference Check
Inbound and outbound knowledge of advisor performance
Remediation
Framework for the investigative audit
Our Products and Services
Pre-Advice Review
Verify the quality and content of advice before it is issues
Data Analytics
Insights for licensees to advance advisor and business outcomes
Document Storage
Single storage solution to meet regulatory obligations
Post-Advice Review
Ongoing review process to meet regulatory obligations
Risk and Compliance Reporting
Standard and customisable data and reporting
Development Oversight
Enables compliance officers to become advice coaches
Due Diligence
Creating insights into the merits of an acquisition target’s regulatory risks
Advisor Reference Check
Inbound and outbound knowledge of advisor performance
Remediation
Framework for the investigative audit
Our Clients
On-Line Access
On-line access through a secure portal which integrates with existing client systems and supports comprehensive data capture, storage and reporting, all at a lower price point to traditional models
Reporting, Analytics and Benchmarking
Reporting, Analytics and Benchmarking
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