InMoment Reduces Non-Compliance Risk for Australian Financial Services Firm

The Australian government mandates that financial Statements of Advice (SoAs) include disclosures covering conflicts of interest, own product recommendations, and more. Financial services providers doing business in Australia use SoA templates and frequent spot-checks to make sure that their advisors aren’t modifying or deleting key disclosures.

The problem is that an average-sized firm produces hundreds of pages of SoAs each week. Manual review is costly and unreliable—and exposes the firm to high non-compliance risk. One such firm, unable to find an existing contract analysis tool that could solve this exact problem, turned to InMoment for help.

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Financial Services Firm

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