Facilitate Compliance Committee Meetings

Facilitate quarterly CCMs and manage actions accordingly. Formally review, attest to and record compliance with your General Obligations. Stay up to date with regulatory changes.

Conduct client file reviews and pre-vets

Conduct client file reviews and pre-vets utilising 3Lines' custom audit question set. Assign remediation action items to advisers and generate reports, to satisfy monitoring and supervision obligations.

Manage compliance registers and ASIC reporting

View, manage, and track key data and dates, relating to your General Obligations. Our Complaints Register is pre-coded in accordance with ASIC reporting standards - simple CSV export for bi-annual ASIC reporting.

Stay up to date with regulatory and industry changes

Stay up to date with upcoming regulatory and industry changes. Understand what you need to do and when, in implementing updates.

Host your policy suite for firm-wide access

Upload, manage and archive policies and procedures. Alert assigned owners as and when a policy is due for review.

Analyse compliance trends 

Identify complaints trends within your firm, to assist in formulating training plans, identifying systemic limitations and monitoring improvements across captured data. Compare how your firm is tracking in comparison to our global subscriber base.

Manage remediation and assign tasks

Ensure chain of custody assurance in assigning remediation tasks, CCM action items and reporting on task status across all members of your firm.

Chat to an expert

Log a compliance query with our team of experts or your internal compliance team member.

Chat to us about options.