The dashboard on display allows the user to get a real-time snapshot of overall adviser and business compliance performance.

We present this in the following ways:

Regulatory Risk Rating trend: this tracks the average scores of each document assessed in the last seven days for a single licensee. 

Regulatory Risk Matrix: As a licensee you can assess areas of advice within a heat map. The output is shaded green, yellow and red shading to assist the user to compare Each attribute is grouped into one of seven thematic categories, namely:

  • Know your client
  • Know your product
  • Basis of advice
  • Statutory disclosure
  • Fee disclosure
  • Plan execution.

The horizontal axis measures the average compliance score for each measured attribute. 

The vertical axis measures the frequency of measurement for attributes within a category.

Financial Adviser exposure: ranks each financial adviser within a licensee based on their average compliance score per audit. The graphic shows individual adviser scores. It also shows the average score of all advisers under a single license.

High Risk Files:  Explore a sortable and exportable breakdown of the compliance audit results to give you an analysis for all audited SOA files.

High Risk Attributes:  Explore a sortable, filterable breakdown of the "High Risk Attributes" for all SoA files.

Did this answer your question?