Related topic: Compliance

Sue will be responsible for ensuring all advisers and relevant staff are properly qualified, skilled, and competent.

The audit trail creates a tamper-resistant "golden record" of the advice journey, ensuring that firms are always audit-ready without the need for manual archiving.

Firms are being urged to review their systems as new guidance sets the standard for customer vulnerability management.

Pivotal will adopt the AI-powered technology to implement audit-ready client file reviews.

The new solution aims to support compliance with a single, integrated platform.

Earlier this month, SmartSearch integrated with Iress to streamline AML compliance for advisers.

Norton says the appointment will support its long-term growth, regulatory confidence and delivery of good customer outcomes.

Jack will oversee the risk, compliance, audit, and supervision teams, while continuing to lead regulatory support for network's member firms.

Through the integration, advisers will be able to conduct AML checks and compliance activities directly within Xplan.

Purdy was a mortgage adviser before leading compliance and supervision in both mortgage networks and DA firms.