Monitoring and supervising your advisers is crucial for maintaining a compliant AFSL. Maintaining your audit register, historical audit outcomes, trends, action plans and endless reporting options will provide your AFSL with extensive visibility and continual improvement.
Establish different types of Audit Groups for different purposes such as Adviser Onboarding or Offboarding, Annual Audits, and even AI Audits.
Manage, maintain and report on all of your audits in one location including your internally resourced audits, your outsourced audits and your AI audits.
Using the Hivrs workflow integration, you can automate your external audits using systems such as Fourth Line or Tiqk.