Understanding the Financial Services Reform Act
For many financial advisers non-compliance with the FSRA can have significant consequences. The reality is that the structure of the legislation and ASIC the regulatory body exist predominately to assist the industry in maintaining proper and professional standards. We understand the importance and structure of the legislation and are able to assure all our clients that all marketing is fully compliant and subject to rigorous review by independent industry professionals.
Requirements of your Dealer Group / Compliance Team
Investwell Marketing understands that rules and regulations vary from one dealer group to another. For that reason we have developed a systematic approach to review and assess the special needs of your licensee and work closely with your compliance team if need be to adjust and refine any aspect of the marketing system.
Our 12-point compliance checklist
Investwell Marketing use a specially designed 12-point compliance checklist to carefully review each aspect of the marketing process. Any inconsistencies found are immediately dealt with and reviewed by our legal team and when necessary, omitted from the marketing campaign entirely.