LUMEN Compliance
Comply with financial advice regulations more effectively and efficiently than ever before.
Rigorous
100% coverage of clients and advisers monitored
Shift from quarterly sampling to proactive daily oversight
Targeted adviser auditing based on advanced analytics
REP 515 KRIs
RG 175
Best Interest metrics
Automated SOA vetting
Quick & Easy
Full set of ASIC and industry Key Risk Indicators (KRI’s)
RG175 SOA vetting pre-configured
Pre-configured compliance monitoring processes
Standardised interfaces – XPLAN, ASIC, KAPLAN, COIN etc.
Cloud or IRESS hosted so quick & easy to get started
Affordable
Monthly subscription fee
No upfront Capex
Future proofing with ongoing enhancements to KRI’s included in the subscription
Free up compliance resources for more complex tasks
Effective and Efficient Compliance
Monitor
Interactive dashboards and visualisations allow rapid review of advisers and compliance metrics.
Control & Regulation Register
Pre-defined (ASIC 515) and customiseable register for all of your regulations and controls.
Incident Dashboards
Interactive visualisations for rapid review of incidents and analysis of alerts.
Incident Workflow & Notifications
Automated incident notifications and workflow management for a streamlined, effective and efficient compliance process.
