Our Bionic Approach
Fourth Line developed a rigorous 100-point compliance check in conjunction with Mills Oakley lawyers which covers…

• Demonstrate how much you act in your client's best intrest
• Bionic RegTech augmented by human oversight
• Deep insight into the risk in your advice process
• Data-driven advice ananlytics and benchmarking

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

Reporting, analytics and benchmarking

• File review reports detailing advice summary, product switches, fees, detailed comments and potential red flags

• Adviser reports benchmarking against industry averages and internally within a licensee or practice

• Analytics reports giving unprecedented compliance and client analytics including industry benchmarking