We believe a better financial services industry augments experts with intelligent technology to review every piece of advice

Watch how TIQK makes this possible

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.

EXPLORE ALL FEATURES

“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
TIQK award finalist logos

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.

CONTACT US TODAY

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