Representative audits

At Alexis, we review adviser client files to ensure compliance with ASIC Regulatory Guide 175, FASEA Standards, TPB, and your professional membership obligations.

We have significant experience in identifying breaches, assisting licensees to conduct thorough incident evaluation and, when required, collate the required information to prepare ASIC breach notifications.

Alexis Compliance will conduct compliance reviews either onsite at your office or offsite to ensure your business is complying with its obligations. Our Representative audits provide you with the opportunity to identify and improve areas of your process and procedures.

Audit Services

At Alexis, we conduct reviews of adviser client files in accordance with RG 175. This includes but is not limited to reviews of:

  • Personal Advice
  • FSG’s
  • SOA’s
  • SMSF advice

At Alexis, we also provide targeted audits including but not limited to:

  • Adviser remediation or termination
  • Continuing Education Program Review

Make an Appointment

Please fill in the contact form if you’d like to Arrange an appointment to meet with Christina and the Team at Alexis Compliance & Risk Solutions.