Every adviser. Every file. Compliant by default.
The risk concentrates at the top.
- Pressure 01
Your licence carries every adviser’s mistake.
One bad file, one missed BID, one late IDR response becomes the licensee’s enforcement action. Liability sits with the AFSL holder, not the adviser. The risk concentrates upstream.
- Pressure 02
Risk is found post‑incident, not pre‑incident.
Quarterly file reviews on a 5% sample miss most of what matters. The breach surfaces after the harm: after the client complaint, the AFCA case, or the regulatory action.
- Pressure 03
The thirty‑day clock starts the moment anyone in the network knew.
Reportable situations run from awareness, not from confirmation. Breaches typically reach the licensee well into the 30‑day window, leaving limited time for investigation.
Risk surface, shrunk by a mile.
5% random sample reviewed quarterly. The other 95% goes unreviewed.
100% of files screened against your supervision rubric continuously. The compliance officer reviews the flagged ones, not the random ones.
Found post‑incident, after the harm has occurred.
Pattern detection across the adviser network in real time. Systemic issues are flagged on the first signal, not the third.
Quarterly rollup, manually compiled. Systemic issues depend on reviewer judgement at quarter‑end.
Continuous aggregation across every adviser, product, and advice strategy. Patterns surface before they appear in ASIC’s public IDR data.
Day 27 lodgement with limited investigation time.
Day 1 awareness logged with timestamp. Investigation drafted, evidence collected, lodgement ready by day 14.
Two‑week intensive preparation before every visit. The compliance team pauses regular work.
Continuous evidence capture. ASIC, APRA, internal, and external auditors all see the same live evidence layer.
Audit & Evidence, at work.
Walk the licensee supervision console live.
See file reviews, breach register, fee consents, and \u00a7912D notifications all on one timeline.
Book a private demoFig. Audit & Evidence consolidating supervision data across an adviser network.
Audit prep, two weeks to one. And risk reduction by a mile, behind it.
Drag the sliders for your licence. The dollars are the measurable side of the story. The bigger gain is the risk reduction across the adviser network in the section above, where continuous monitoring replaces post‑incident scrambles.
- Hours saved / year
- 176
- Audit events / year
- 4
- Time reduction / event
- 55%
Formula matches the homepage calculator. The bigger gain for licensees is the elimination of pre‑audit scrambles. The continuous evidence pack is harder to price in dollars.
One supervision platform, every adviser covered.
Audit evidence is one layer. The licence runs on SoA review gates, fee consent reconciliation, CPD monitoring, complaints management, adviser succession, and the regulatory reporting that ties them together. BackPro holds all of it in a single supervision workspace.
Two‑stage paraplanner and licensee sign‑off on every Statement of Advice. Compliance checklist, decision trail. Download blocked until licensee approved.
RG 271 IDR lifecycle with statutory clocks. One‑day acknowledgement, 30/45‑day response deadlines. AFCA referral. ASIC IDR Data Handbook CSV export.
AI scans adviser communications for complaint language, service‑evidence triggers, and AFCA mentions. Flags surface before the statutory clock starts.
Every adviser file reviewed against your supervision rubric. Incomplete fact‑finds, missing BIDs, stale fee consents flagged automatically.
Firm‑wide CPD summary across every adviser. 40‑hour standard scoring, category breakdown, licensee verification of activities.
Bulk client reassignment on adviser exit. Impact preview, capacity analysis against 150‑client target, handover report for the receiving adviser.
Licensee controls the master SoA template. Draft, publish, retire lifecycle with immutable version history. Adviser drafts conform automatically.
s946B short‑form ROA for ongoing reviews, fee resets, and minor changes. Same engine as the SoA Drafter, leaner output, full supervision trail.
OFA consents, fee deduction consents, reconciliation runs across the network. Fee Disclosure Statements generated in one click. DBFO Phase 2 ready.
Awareness logged with timestamp. Investigation tracked alongside. ASIC notification draft prepared in time. Every breach linked to the adviser file and the reportable‑situation workflow.
RG 277 program lifecycle: affected client identification, interest calculation, compensation payments, phase advancement, ASIC notification.
Multi‑regulator submission lifecycle across ASIC, APRA, AUSTRAC, and OAIC. Status tracking, amendment workflow, audit trail.
One platform, your licence at the centre.
From signed pilot to continuous audit‑readiness.
Most licensees are live in under twenty‑four hours and at continuous audit‑ready posture inside thirty days.
Deployment scoped. We map your supervision rubric, your audit cycle, and the structure of your adviser network.
BackPro running inside your environment. Sample adviser file reviewed against your supervision rubric. Existing breach register imported.
Practice‑level data flowing across every adviser. File reviews, fee consents, training records consolidated. First IDR rollup published.
Every reviewer sees the same evidence layer: ASIC, APRA, internal audit, external assessor. Continuous evidence capture, removing the pre‑audit cycle.
The standards your licence answers to.
Same regulatory map, different lens. See how each obligation lands across all five personas on the persona map.
See the persona mapThe honest FAQ.
The six questions every licensee asks within the first ten minutes of a private demo. Answered the way we’d answer them in the room.
Finally, AI our compliance team actually approves. Everything stays on our servers, audit trails are built in, and our advisers are spending time with clients instead of fighting Word templates.
See your risk surface, shrunk in real time.
Bring a real audit pack, or just last year’s IDR data. Thirty minutes. We map your network’s risk surface, show the file‑coverage gap, and demonstrate the continuous evidence layer that closes it. You keep the analysis whether you proceed with us or not.