Captegra Group > Apps > AFSL Compliance Platform > Audits



No matter how many different 'types' of Audits you want to setup, the platform will handle them all. From your standard annual adviser audit group where every adviser is audited annually through to onboarding, pre-vetting and even automated SoA audits. Our combination of Audit Groups, Audits, Workflows and Questionnaires ensures you can design any process that meets the needs of your AFSL.


Audit Groups

The GRC platform allows you to establish what we call 'Audit Groups' for different auditing purposes such as;

  • your annual adviser audit
  • on-boarding and pre-vetting
  • adviser remediation
  • and potentially the automated audit of every SoA


Best of all, each audit group can have it's own predefined audit questions and audit process providing a greater level of efficiency for each individual audit.  Utilising the Process Designer, each audit process can automate actions such as;

  • creation of question sets to suit the audit
  • rolling up the results through the adviser, practice and AFSL
  • automated reporting for your advice, risk or compliance committees
  • automatic assignment of remediation training
  • automatic addition to other audit groups
  • removal of certain advice generation capabilities
  • integration with third party audit tools such as Tiqk