TIQK delivers intelligent compliance and risk management to the financial advice sector

Watch how TIQK makes this possible

TIQK’s world-first platform assesses risk in written financial advice objectively, faster, and more comprehensively than humans alone.

We believe that the quality of a Statement of Advice (SoA) is a strong indicator of the quality of the financial advice process for a client.

We also believe that the industry practice of sampling only 5-10% of the millions of SoAs produced every year is a poor predictor of compliance.

By rapidly and intelligently assessing every SoA for critical regulatory requirements, Best Interest Duty, and financial advisor behaviours, TIQK reduces the effort of auditing SoAs by up to 50% – freeing your experts to investigate identified risks and conduct coaching and development.

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In 75% of the customer files we reviewed ... the adviser had not demonstrated compliance with the best interests duty and related obligations

ASICReport 562: Financial Advice, Vertically integrated institutions and conflicts of interest (January 2018)

Combining expert compliance analytics, natural language processing, and artificial intelligence, TIQK audits more than 500 data points in a typical SoA in just seconds.

This makes it possible to rapidly review the critical legislative and regulatory checklist items, and solves the challenge of ensuring the Safe Harbor provisions of Best Interest Duty are met.

TIQK can even flag harder-to-detect behaviours like financial planners that produce “cookie-cutter” advice across multiple clients.

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“By aligning regtech to our compliance and advice teams process, we can achieve better outcomes, which ultimately delivers an enhanced customer experience”

Matthew Farley , Professional Standards Manager, MyPlanner

“At Scholten Collins McKissock, we are focused on delivering quality advice outcomes to all our clients. We see compliance as a fundamental pillar in measuring, improving and demonstrating this. We have partnered with TIQK to augment our compliance processes and leverage the advancements in AI and machine learning technology where relevant.”

Aubrey Roga, Chief Executive Officer, Scholten Collins McKissock

“We are delighted to be partnering with TIQK. Their audit platform is enabling AFSLs to implement scalable solutions in meeting their increasing compliance obligations. When combined with Enzumo’s market-leading XPLAN Advice Builder suite, we are providing licensees with the very best in advice delivery and compliance technology”

Peter Worn, Head of Strategic Relationships, Enzumo

““The combination of Practifi’s business management capabilities and TIQK’s auditing tools significantly reduces the burden of compliance for advisers and licensees. This partnership makes proactive compliance management a reality,” ”

Adrian Johnstone, Chief Commercial Officer, Practifi
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Take control with TIQK

We believe the way to a better industry is to augment your experts with objective, intelligent technology to help review every piece of advice produced for every client.

Removing the first step to the audit process gives precious time back to compliance professionals, freeing them to ensure that all financial advice is in the clients’ best interest.


TIQK announces new CEO and Product

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TIQK, Australia’s leading financial advice monitoring technology, today announced their new CEO.  Steve Brown has been promoted from Head of Sales to CEO in replacement of Steve Thomson. Steve Brown…

MyPlanner | Why we implemented TIQK

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  We recently sat down with MyPlanner’s Head of Compliance, Matt Farley, and talked to him about implementing TIQK to enhance their monitoring and oversight program. Matt talks about how…

Are you effectively monitoring your advisers at a practice level? 

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Recently we presented at a customer’s National professional development roadshow.  This was a great opportunity to talk about the concerns that many practices who buy their dealer services from a licensee have. …

Superbowl Monday 2019

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I love that sound the popcorn makes when the microwave is in full swing and you are getting a couple of pops every second. It makes me salivate! Then the…

Shiny toys you can’t play with

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As a technology company you often meet prospects who are interested in the next “shiny thing” in the technology space.  You then go in and demonstrate what the technology can…

Regtech provider pushes back: it’s on us, not advisers, to change

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Originally seen on Professional Planner by Tahn Sharpe The challenges regtech providers face in creating effective tools shouldn’t be passed on to advisers, technology company founder Lane Cipriani says. It is…

Are dealerships dead?

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Introduction Regardless of the findings from the Royal Commission into Misconduct into the Banking, Superannuation and Financial Services industry, we believe changes are necessary to the vertically-integrated distribution model of…

TIQK and Opex announce their partnership

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TIQK, a RegTech SaaS company based in Sydney, today announced that they had signed a commercial agreement with financial services technology provider Opex. TIQK CEO Steve Thomson said “the integration…

TIQK partners with Captegra

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TIQK, a RegTech SaaS company based in Sydney, today announced that, in line with their long term strategy of integrating with partners who share their vision, they have signed a…

TIQK and Practifi offer new compliance solution

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Sydney-based RegTech company, TIQK, has announced a partnership with Practifi, a business management platform for financial advice and superannuation, to provide advisers an integrated solution that would aid with compliance burdens….

TIQK partners with Practifi

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TIQK a RegTech SaaS company based in Sydney, Australia today announced a strategic partnership with Practifi, the business management platform for financial advice and superannuation. TIQK CEO Steve Thomson said he was…

TIQK partners with Enzumo

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TIQK, a RegTech SaaS company based in Sydney, Australia and focused on the automation of both adviser & licensee compliance to customers, today announced a strategic partnership with Enzumo, the…

Identify and reward high quality advice by using TIQK technology daily + you’re regulator ready! regulatorready… https://t.co/rhbTIgn6WG
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Build a foundation of monitoring and compliance efficiently buy using TIQK technology + you’re regulator ready! re… https://t.co/rwF7IFZS4Q
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Using TIQK’s consistent and objective audit outcomes supports your advisers desire to give the best possible advice… https://t.co/nZF6dQdngF
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Spend up big on compliance head count or find efficiencies using TIQK technology + you’re regulator ready! regulat… https://t.co/oQmNFLdeja
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Using TIQK technology proves that you are focused on complying with the law + you’re regulator ready! regulatorrea… https://t.co/HqhYpCTNgr
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RT @Anna_Cochrane: Stoked with our @MyPlannerLS video with @mtfarley75 talking about why they implemented TIQK, insights and outcomes for t…
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