Practice and adviser
due diligence and onboarding

Appointing new advisers is an exciting time for both licensees and self-licensed practices that are seeking to expand. It’s also a key risk that needs to be carefully managed.

Due diligence is critical of course, with a long list of matters including reference and qualifications checks and verification to be attended to. Yet time is often of the essence –  with your potential new advisers looking for certainty of outcome in a timely manner –  and a welcoming attitude –  so getting the process and balance right is vital.

Our team has successfully handled applications from –  and the onboarding of –  literally hundreds of salaried advisers, corporate authorised reps, and sub-ARs across a variety of self-licensed, boutique and large-scale licensee environments.

We can provide you with a turnkey program –  including policies and procedures, CAR/AR and salaried adviser contract templates, and onboarding workshop –  that meets all regulatory requirements and gives you the confidence to manage this critical key risk.

Once you’re up and running you and your team can then assume responsibility for the ongoing process –  or we can manage all applications for you on a subscription basis that includes helping ensure that your processes remain updated to address legislative and regulatory, and operational and market force impacts.

Our subscription services also include adviser code establishment or transfer, including for those times when advisers are exiting your practice or licence to ensure that nothing slips through the gaps. 

Our adviser and CAR/AR due diligence and onboarding (and off-boarding) services are available to boutique licensees and self-licensed practices.