For the past 3 years we’ve helped financial services businesses eliminate compliance anxiety.
TIQK assesses key risk indicators in Statement of Advice (SOA) and Record of Advice (ROA) files to help stop problems reaching your clients.
It augments your experts to provide objective feedback to compliance teams, para planners, and financial advisers as advice is produced.
Produced by expert compliance analysts, our cost-effective and objective reports highlight the macro and micro risks in an organisation’s historic advice book during due diligence, investigation, and remediation projects.
Reviews can cater to one adviser’s output, or a whole company’s advice record over many years.
With a modern, secure, and open API plus exceptional partner support, it’s simple to add fully-automated document compliance and risk monitoring capabilities to your platform.
