Complii has been designed to move Australian Financial Services Licensees (AFSLs) to above industry standard and away from paper based compliance systems and into the electronic age. The Complii platform is a 100% secure, ASIC data retention compliant, web-based compliance system that has been designed to automate, check and process much of a Licensee's compliance system.
Complii has now been operating continuously for 8 years in one of Perth's busiest brokers and 5 other brokers around Australia since 2010.
Complii is now running successfully in major regional stockbroker Patersons Securities Limited
ASIC will never endorse Complii but Complii has been at the forefront of many firms that have had ASIC radar visits
Complii is constantly being improved and updated free of charge to licensees.
The launch of Electronic Acceptance, a full book build model and automatic generation of offer letters is ground breaking
The staff savings from installing Complii are likely to outweigh the cost of the service. A small broker can be in for as little as $3,000 a month in fees
Complii has presented to the Financial Ombudsman Service FOS
Complii was FOFA ready well before the 30 June 2013 deadline and is ready for the 2014 and 2015 changes.
Complii is heavy focused on RG181 specifically RG181.50, RG181.51, RG181.52, RG181.53 & RG181.54.
We may have shares we may have earned fees which is Boilerplate Disclosure is not clear, concise, adequate, specific or showing extent.
Complii will be 100% re-branded to your company images and colours.
With programmers in Australia any legislation changes or bugs are fixed in a matter of hours not weeks or months. Ongoing improvements and updates in real time to each licensee.
The web based nature of the Complii system also allows AFSL, responsible managers and other employees to become aware of and deal with any compliance issues regardless of their physical location.
Complii is a tool around which a successful AFSL can be built, confident that it will be more than complying with its regulatory obligations in the most efficient manner available. It has been designed specifically to ensure that both your wholesale and retail client relationships, including those with 708(8) & (10) sophisticated investors, are protected and that their integrity/privacy is beyond reproach.
Complii has been designed to move Australian Financial Learn more>