https://www.icomply2.com.au/release-notes daily 0.75 2022-11-29 https://www.icomply2.com.au/release-notes/ic2-app-release-notes-nov-2022-cyraf monthly 0.5 2022-11-29 https://www.icomply2.com.au/release-notes/ic2-app-release-notes-oct-2022 monthly 0.5 2022-11-22 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/394bafe2-6f08-43af-99dc-8a8c31843cae/ic2app+tech+integration.png Release notes - Release Notes - October 2022 - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/release-notes/upcoming-features monthly 0.5 2022-11-29 https://www.icomply2.com.au/release-notes/ic2-app-release-notes-sept-2022 monthly 0.5 2022-10-20 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/5ce57db6-2f44-4110-bf38-d5f061299758/ic2+plugs+xplan.jpg Release notes - Release Notes - September 2022 - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/21eda924-e826-41fb-8efb-dd04785ab2a7/user+management.png Release notes - Release Notes - September 2022 - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/rima-tips daily 0.75 2026-08-24 https://www.icomply2.com.au/rima-tips/adviser-pay-runs monthly 0.5 2025-05-19 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/a11ef906-0883-471a-9248-b7ee86758a46/create+password.jpg Rima Tips - Adviser Pay Run Portal - Once the portal opens in a new tab, you will be prompted to set your new portal password Once created, you will be logged in to the portal. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/804440eb-56fc-4f0e-b05f-71c276a61adb/list+of+pay+runs.jpg Rima Tips - Adviser Pay Run Portal - You will see a list of your pay runs . You can select which pay run you would like to access by clicking on the pay run https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/eb88877e-c89f-44ba-9ed0-63e2081b4ae7/list+of+items.png Rima Tips - Adviser Pay Run Portal - When you select a pay run, the list of line items will be displayed. You can see your client fees collected and the list of deductions applied from the dealer group. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/7175c61a-35cf-42b8-a4d6-d2e1a1be74fa/print+PO.png Rima Tips - Adviser Pay Run Portal - Click on the 3 dot ellipsis on the right-hand side of the pay run. Select the Print icon to print your Purchase Order/RCTI for your book keeper. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b26ce14c-cf99-4e7e-977a-386f64f20f6a/download+revex+reports.png Rima Tips - Adviser Pay Run Portal - Click on the 3 dot ellipsis on the right-hand side of the pay run. Select the Download icon to download your Revex revenue reports. https://www.icomply2.com.au/rima-tips/end-of-month-pay-runs monthly 0.5 2025-05-19 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6b8b840d-0bc2-44cb-a3d2-8bf55be7cc82/connect+to+xero.png Rima Tips - Processing Adviser Pay Runs - From the top navbar, click the xero icon. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/97155de5-ffa6-4989-af7e-faaff513429e/Proceed.png Rima Tips - Processing Adviser Pay Runs - Click the Proceed button to confirm you wish to connect your Revex Portal to Xero From here, you will be re-directed to Xero to provide your login details and select the organisation you wish to connect. Once connected, the xero icon will change to green, indicating you are now successfully connected. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/dda7be95-de0f-450b-b0b2-c01d4ffbe141/xero+contact+id.png Rima Tips - Processing Adviser Pay Runs - You can access the unique Contact ID from the URL in Xero. You can raise a support request to save the xero Contact ID to the list of practices. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/e5c61e24-68ff-4ede-980d-d03d63e3f728/xero+contact+IDs.png Rima Tips - Processing Adviser Pay Runs - You can see your list of practices and the Xero Contact ID’s in the Compliance Hub (Compliance Manager’s only) https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/5debfb1a-c1a2-4a9e-9ce5-9379f5fb7575/revex+settings.png Rima Tips - Processing Adviser Pay Runs - From the Purchase Orders section, select the settings icon. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/2448b718-a2e6-4ab6-9fbf-6dbf8679117b/adding+a+deduction.png Rima Tips - Processing Adviser Pay Runs - To add a line item, click the + icon. Fill out the line items and click the tick icon. The account, item code and tax rate dropdown inputs will call your list of accounts from xero, using the API integration. Select the accounts to be populated from xero. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f8efe56e-185e-447f-8847-b3eaf5cfe154/example+deduction.png Rima Tips - Processing Adviser Pay Runs - Make it stand out Example List of Deductions https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/96c65f07-740a-4d02-8a30-9e57a882bfca/create+PO.png Rima Tips - Processing Adviser Pay Runs - Click ‘Create Purchase Orders’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ef889b18-916a-43e8-9acf-911400dba95f/Purchase+Orders.png Rima Tips - Processing Adviser Pay Runs - Fill out the create purchase orders popup. The Reference input refers to a reference for this pay run. In this example, we have used January 2025. Where you have multiple practices, you can select which practices you wish to create a purchase order for. Then click ‘Create’. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ec4163b3-2487-4be9-9535-bd48372b219c/List+of+POs.png Rima Tips - Processing Adviser Pay Runs - Once created, you will see a list of purchase orders for each practice. You can show/hide the underlying line items by expanding/minimising the Purchase Order. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6b6eabd4-d33f-40ad-b662-1f9a38c23505/add+revenue.png Rima Tips - Processing Adviser Pay Runs - Add practice revenue from the revex reports https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/51175412-bfad-4c48-93b1-d3afa42c0c9d/update+to+approved.png Rima Tips - Processing Adviser Pay Runs - Once all your Purchase Orders are complete, update the Status of each Purchase Order to Approved https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/bf478d27-4e65-440b-b458-ba83dc5d7ba4/print+purchase+order.png Rima Tips - Processing Adviser Pay Runs - Print the Purchase Order to send to the practice https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f1a53a5b-87e0-43f2-816e-fbb35d15a2c2/send+to+xero.png Rima Tips - Processing Adviser Pay Runs - From the list of purchase orders, tick the checkbox for those that you wish to create a Bill in Xero. Click the ‘Send to Xero’ button to create the list of Bills in your Xero. https://www.icomply2.com.au/rima-tips/invoicing-solved monthly 0.5 2025-05-19 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/e66179da-5717-43e2-aa7b-35464764832f/invoicing+system.PNG Rima Tips - Invoicing, solved - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/2aa79844-01bb-43fd-b8f0-47b286acf175/cretae+invoice.png Rima Tips - Invoicing, solved - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/fab3cd3b-956d-4775-9d7f-2fb4168259dc/new+invoice.PNG Rima Tips - Invoicing, solved - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/rima-tips/tag/Ticket monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Pay+Run monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Invoice monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Compliance monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Support monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/SOA monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Revex monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/File+Review monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Projects monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Pay monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Templates monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/SOA+Request monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Users monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Xplan monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Breaches monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Approved+Product+List monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Audit monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/benefits+register monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Shared+User monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Direct+Debit monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/News monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Revenue monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/APL monthly 0.5 https://www.icomply2.com.au/rima-tips/tag/Ezidebit monthly 0.5 https://www.icomply2.com.au/sara-tips daily 0.75 2025-11-02 https://www.icomply2.com.au/sara-tips/7ccex94ofnui36bzy0os38tk5pavf3 monthly 0.5 2025-06-27 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/e999f063-0648-4c5b-ae0d-9d3a6026a265/Fail+Outcome.png SARA Tips - Update & Re-Check Feature - If SARA has identitied a Fail, cklick the “Update and Recheck” button. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/c94e65a0-1197-43cc-b3ec-db625323450e/Copy+SOA.png SARA Tips - Update & Re-Check Feature - Copy the relevant section of your updated SOA This could be data SARA has missed, or updated data that SARA had flagged as needing to be updated. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ff616d70-6538-4ad1-aa25-c3f3d4397281/paste+data.png SARA Tips - Update & Re-Check Feature - Paste your updated SOA data into the popup and click Submit Recheck SARA will run the compliance check on your newly submitted data, and display the findings in the report builder. https://www.icomply2.com.au/sara-tips/protecting-personal-information monthly 0.5 2025-06-06 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ca804434-3af0-431b-972c-22ac8806dfca/PII+Image.png SARA Tips - Protecting Personal Information - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/sara-tips/sara-now-has-vision- monthly 0.5 2025-05-21 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/82056ab2-3c98-4537-9e04-886a7ce96af3/SARA+now+has+vision.png SARA Tips - SARA Now Has Vision - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b4c38095-29ef-4751-8f60-8f9d58a37fb2/document+vision.png SARA Tips - SARA Now Has Vision - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/sara-tips/2mnjhrbrgweae7ru3cwb6kwchcvls3 monthly 0.5 2025-05-21 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/72dad7ed-5492-4ae4-9cd1-9bb0bdb5425e/Custom+Compliance+Checks.png SARA Tips - Creating Custom Compliance Checks - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/14fde3b6-1851-427b-ae3a-8962fb196746/SARA+Settings.png SARA Tips - Creating Custom Compliance Checks - To access the custom compliance checks, click on ‘SARA Settings in the bottom left of the menu https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/33c81765-e669-4567-9370-c58babec4642/checkbox+custom+checks.png SARA Tips - Creating Custom Compliance Checks - From the SARA Settings menu, tick the ‘I want to create my own custom compliance checks’ box https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/a1194dbf-4879-47c6-96d9-3c6b345b0ddb/default+prompts.png SARA Tips - Creating Custom Compliance Checks - Click Copy Default Checks button. The SARA app will create a copy of all the default checks and save them to our licensee environment. Once copied, you can edit the checks to your AFSL needs and preferences. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/715ec999-30bd-46b1-aab0-e3c5a14af159/custom+check+button.png SARA Tips - Creating Custom Compliance Checks - Click the ‘Create Custom Check’ button https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/46f35ef4-8388-4cd9-a061-6da056d5b0b7/Custom+Compliance+Check+Popup.png SARA Tips - Creating Custom Compliance Checks - Fill out the Custom Compliance Check Popup You can use the ‘Advice Type’ and ‘SOA Inclusion’ options to control when the compliance check is run. When the user selects these options, your custom check will run. If you want the check to run on every SOA as default, leave the SOA Inclusion section blank. https://www.icomply2.com.au/sara-tips/loading-an-soa-for-review monthly 0.5 2025-03-01 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b0bd6e50-61f3-4bb5-9aa4-2e86902f3c87/4.png SARA Tips - Loading an SOA For Review - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/2fa9bc90-48f3-4ea3-a80d-e2d1c28b0b59/new+adviser.png SARA Tips - Loading an SOA For Review - From the top navbar, select ‘Add New’ Then select ‘New Adviser’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/00d0a444-0ffd-46d0-876c-dc52464bd3ff/add+adviser+popup.png SARA Tips - Loading an SOA For Review - Fill out the adviser details in the Create New Authorised Representative Popup https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f8d509aa-8ba0-426a-9aac-f8a199863279/create+new+client.png SARA Tips - Loading an SOA For Review - Create a new client in SARA by ticking the Create New Client checkbox. Then click Next https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/8e56aff3-d307-432a-bc05-9851d2f93381/new+client+details.png SARA Tips - Loading an SOA For Review - Add the client details into the form. You can create a new client category by clicking the plus button. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/a30bc59e-eaf3-421f-8d82-6a77c63d5ab0/example+client.png SARA Tips - Loading an SOA For Review - Your client will now appear in the Search Client bar. Your client has been created and you can now click ‘Next’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1284b240-cfd2-47b4-a3de-2481c17c2bcb/Screenshot+2025-03-01+182912.png SARA Tips - Loading an SOA For Review Select the type of advice you are providing, and click ‘Next’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/17dbada9-6625-415b-bcfc-5c17ef3825d4/Screenshot+2025-03-01+183047.png SARA Tips - Loading an SOA For Review - Select the areas of advice you have included in your SOA, and click ‘Next’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f40baa5c-8ef0-41b3-9e02-2dd63ffd39a5/Screenshot+2025-03-01+184206.png SARA Tips - Loading an SOA For Review - Upload your SOA and supporting docs to SARA, and click ‘Upload Document’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/9782a53f-b087-43a5-9fdd-71e0241e3586/Screenshot+2025-03-01+184609.png SARA Tips - Loading an SOA For Review - SARA will ingest your document/s and run a list of compliance checks on the document/s The process will take 3 - 5 minutes to complete https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/40adb433-68d4-4842-bdd8-4b4d98bf496e/Screenshot+2025-03-01+184825.png SARA Tips - Loading an SOA For Review - SARA will display the Report Builder You can assess the responses from SARA on each of the checks. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/37532e56-9413-45c0-8ff1-17ff56e31a77/print+report.png SARA Tips - Loading an SOA For Review - Click the ‘Print’ button on the top right of your screen to download the SARA findings into a Compliance Report https://www.icomply2.com.au/sara-tips/user-roles-in-sara monthly 0.5 2025-02-21 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/2e904556-3208-4d51-9c3c-4a37e6aff242/user+roles.png SARA Tips - User Roles in SARA - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/22eaa949-eee5-44dc-bfc9-c06982bbad96/org+chart.png SARA Tips - User Roles in SARA - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/sara-tips/configuring-the-xplan-integration monthly 0.5 2024-11-15 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/9878dc42-1ba2-473d-a58c-a6e63787c6c1/Xplan+Integration.png SARA Tips - Configuring the Xplan Integration - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f4154559-70a0-4803-aff6-68fc93277355/connect+to+xplan.png SARA Tips - Configuring the Xplan Integration - From the top navbar, click on the Iress Icon https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f52da600-235f-432b-889f-2edbef5acb3e/connect.png SARA Tips - Configuring the Xplan Integration - From the Connect to Xplan Popup, click ‘Connect’ https://www.icomply2.com.au/sara-tips/adding-team-members monthly 0.5 2024-11-15 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b1e1bdfa-e455-4c95-8f5e-803d3571bef6/Add+a+heading+%281%29.png SARA Tips - Adding Team Members - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/41f0d3d5-7a6c-4612-a7a6-985a0c1e0250/User+Profile.png SARA Tips - Adding Team Members - Select the ‘Me’ Icon from the navbar in the top right corner. This will open your user profile in a new tab. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/5a229098-5efe-4f01-a6d9-3459257a7bed/User+Management.png SARA Tips - Adding Team Members - From the Left menu, select ‘User Management’. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/01d52887-286d-4908-baa0-fa4b30a1f530/add+user.png SARA Tips - Adding Team Members - From the User Management Element, click ‘Add User’ button. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/bbbe59d3-ee20-478b-9da3-22a487f9aa16/new+user+popup.png SARA Tips - Adding Team Members - Complete the Add User popup. https://www.icomply2.com.au/sara-tips/what-about-saras-data-security monthly 0.5 2024-11-15 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/c65e50a6-346a-4af9-a919-ba3e8bf33ced/SARA+Cyber+Secuirty.png SARA Tips - What About SARA’s Data Security - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/sara-tips/a-guide-to-using-sara monthly 0.5 2025-11-02 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/e47016f7-ab2a-42b9-951b-d544e6676687/Summary%2Bof%2Badvice.png SARA Tips - Assessing SARA’s responses - SARA provides a summary of the advice under the following headings: 1. Objectives: List the client objectives. 2. Scope of Advice: Outline the agreed scope of the advice and any limitations to the advice. 3. Strategy Recommendations: List and summarise each of the strategic (non-product) recommendations made by the adviser. 4. Product Recommendations (if any): List and summarise the recommendations to obtain, maintain or rollover a superannuation or investment product. 5. Insurance Recommendations (if any): List and summarise the insurance recommendations. 6. Disclosure: Summarise the fees and disclosure section of the advice., including any ongoing or fixed term agreements. Action Required: Cross Reference the response from SARA with the SOA document. Update any sections that need editing as required. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/388e41c1-5a63-4df8-8ed9-c0e43cafd8ef/identifiying%2Bobjectives.png SARA Tips - Assessing SARA’s responses - Audit Question: Did the adviser identify the objectives of the customer that were disclosed through instructions? SARA will list out the client objectives and critically analyse each objective. The customer’s objectives should be specific, measurable and prioritised. The objectives that prompted the customer to seek advice should be clear and recorded in the customer’s own words. The Statement of Advice (SOA) should clearly explain why the customer is seeking advice and the outcomes the customer wants to achieve. The objectives should allow each customer’s relevant circumstances to be taken into account and is likely to result in advice that reflects the customer’s relevant circumstances. Action Required: Cross check SARA’s findings with the SOA. Did the customer file pass or fail this step? Why/Why not? If the objectives identified are not clear or specific the adviser would fail this step. Outline that this is a breach of safe harbour and s961B(2)(a), and what steps the adviser can take to remediate the file. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1fdb8570-472a-417b-88cc-75a17df97b63/Financial%2BSituation.png SARA Tips - Assessing SARA’s responses - Audit Question: Did the adviser identify the financial situation and needs of the customer? SARA will list the following details: the client/s personal circumstances including age, relationship status and family situation; health status total income, expenses and net cashflow total assets total liabilities superannuation funds name and balances any pension funds name and balances insurance policies names and benefits Action Required: Cross check SARA’s findings with the SOA. Did the customer file pass or fail this step? Why/Why not? If the customer file does not demonstrate that the adviser adequately identified the customer's financial situation and needs, the customer file would fail this step. Outline that this is a breach of safe harbour and s961B(2)(a), and that the adviser needs to review the current financial situation with the client to obtain up to date and accurate information. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ea99e649-9c69-4f65-b411-5ce07bb4eb8c/step+4.png SARA Tips - Assessing SARA’s responses - Audit Question: Has the adviser identified the clients risk profile? What was the risk profile identified for the client/s? Is this risk profile appropriate for the clients personal circumstances? When assessing the appropriateness of the risk profile, consider the clients age, assets, income and investment timeframe. A stable financial situation with a long investment horizon might allow for higher risk investments. Action Required: Cross check SARA’s findings with the SOA. Did the customer file pass or fail this step? Why/Why not? If the adviser has not identified the client/s risk profile, or the risk profile does not seem appropriate for the clients age or investment timeframe the adviser fails this step. Outline that this is a breach of safe harbour and s961B(2)(a), and that the adviser needs to review the client risk profile to ensure it is appropriate for the client circumstances. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/d7d3062a-0f2b-417c-a156-d77fbafde488/step+5.png SARA Tips - Assessing SARA’s responses - Audit Question: Did the adviser identify the scope of the advice sought by the customer and, where relevant, limit the scope of the advice accordingly? SARA will outline the agreed scope of advice. If the adviser has limited the scope, SARA will outline what has been limited and why it has been limited. Do the recommendations made by the adviser reflect the scope that was decided with the customer? Did the adviser provide recommendations within the boundaries of the agreed scope? Action Required: Cross check the response with the SOA and investigate whether the adviser's recommendations were within the bounds of the agreed upon scope. Did the customer file pass or fail this step? Why/Why not? If the adviser did not identify the scope of advice, or provided advice that was outside in the bounds of the agreed scope, the adviser fails this step. Outline that this is a breach of safe harbour and s961B(2)(b)(i), and that the adviser needs to review the scope of advice with their client. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b673a9dc-dc9a-46c3-849b-d8486fdebe9f/step+6.png SARA Tips - Assessing SARA’s responses - Audit Question: Has the adviser made a recommendation to maintain or obtain a superannuation or investment financial product? Where a superannuation or investment financial product is recommended, SARA will asses if it was reasonable to recommend a financial product, taking into account the reasons why the customer sought advice? What are the reasons why the adviser believes the recommended superannuation or investment products are suitable for the customer. It should be clear that the recommended superannuation or investment product meet the stated objectives and needs of the customer. Action Required: Cross check the response from SARA with the recommendation in the SOA. Does the adviser pass or fail this step? Why/Why Not? If there is a clear link between the clients stated objective and how the recommended superannuation or investment product meets that objective, the adviser passes this step. If the recommended superannuation or investment products do not meet the stated objective of the client, the adviser fails this step. Outline that this is a breach of safe harbour and s961B(2)(e), and what the adviser needs to do to remediate the file. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ad403770-e9dd-408d-b8b2-7f2d9ff64448/step+7.png SARA Tips - Assessing SARA’s responses - Audit Question: Has the adviser made a recommendation to maintain or obtain a superannuation or investment financial product? If a superannuation or investment product has been replaced, check for the following: 1. Did the adviser consider the clients existing superannuation or investment product and clearly explained why it is not appropriate? Failing consider the clients existing product is a breach of s961B(2)(e). 2. Does the recommended product satisfy the clients stated objective? 3. Has the adviser provided a detailed fee comparison table in the Product Replacement section? 4. Does the replacement of product result in lower fees? If the recommendation does not result in lower fees, how does the increase in fees meet the clients stated objective? 5. Has the adviser outlined other products that were considered? If so, list what other products were considered and why were they discounted? Actions Required: Cross check the response from SARA and the recommendations made in the SOA. Does the adviser pass or fail this step? Why/Why Not? If the files meets the above criteria, the adviser passes this step. If the file does not meet the criteria, the adviser fails this step. Outline that this is a breach of safe harbour and s961B(2)(e), and what the adviser needs to do to remediate the file. If the adviser had not replaced superannuation or investment product, this step is not applicable. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/cce066b2-d59f-479f-a6c3-1bf7ab5b1444/step+8.png SARA Tips - Assessing SARA’s responses - Audit Question: Has the adviser made a recommendation to buy and/or sell any investments? SARA will list and summarise the recommended transactions to be made. Where an investment portfolio is recommended, is the asset allocation within the client’s risk profile? Is there a variation outside the standard range of ±10% for each asset class? Does the adviser adequately explain any variations? Actions Required: Cross the SARA’s response with the portfolio and asset allocation in the SOA. Does the adviser pass or fail this step? Why/Why Not? If the recommended portfolio asset allocation variation is within the standard range of ±10%, the adviser passes this step. If there are deviations beyond ±10% (undervariance or overvariance), has the adviser adequately explained the variation? If the adviser fails this step, outline that the adviser needs to review the recommended asset allocation. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/87b52380-cf56-4116-a65d-351a8305814c/step+9.png SARA Tips - Assessing SARA’s responses - Audit Question: Has the adviser based all judgments made, in advising the customer, on the customer’s relevant circumstances? SARA will summarise each of the recommendations made by the adviser and critically analyse each of the recommendations made by the adviser. Looking for clear links between the customer's stated objective and how the advice satisfies that objective. Action Required: Cross check SARA’s response with the SOA. Has the adviser considered the reasons, consequences and alternative strategies considered for the recommendations? Does the adviser pass or fail this step? Why/Why Not? To satisfy s961B(2)(f), a reasonable adviser would believe the customer is likely to be in a better position if the customer follows the advice. If the advice clearly satisfies the client objective, the file passes this step. If the advice does not clearly reflect the customer’s relevant objective, or if there seems to be a mismatch between the objective and the advice, the customer file would fail this step. Outline this is a breach of best interest duty and s961B(2)(f). https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6c42b23b-8dec-47ab-aab9-1e7ded212305/step+10.png SARA Tips - Assessing SARA’s responses - Audit Question: Where an insurance product is recommended, has the adviser completed a needs analysis to calculate the appropriate levels of cover required? SARA will outline the levels of cover recommended and the basis for the needs analysis in the event of life, total and permanently disablement, traumatic illness and if the client is unable to work. It should be clear that the recommended level of cover meets the clients objectives and needs of the customer. Actions Required: Cross check the SARA responses with the SOA. Does the adviser pass or fail this step? Why/Why Not? If the adviser has completed a thorough needs analysis calculation and there is a clear link between the clients stated objective and the level of cover, the adviser passes this step. If the adviser has not completed a thorough needs analysis, the adviser fails this step. If the adviser has not made a recommendation to maintain or obtain insurance, this step is not applicable. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/559bdd16-e5cf-4e35-8735-3c19a8f65aa9/step+11.png SARA Tips - Assessing SARA’s responses - Audit Question: Has the adviser made a recommendation to replace a life insurance product? S ARA will review the product replacement section of the insurance recommendation for the following: 1. Has the adviser clearly explained why the existing product is not appropriate? 2. Does the recommended product replacement satisfy the clients stated objective? 3. Has the adviser provided a detailed fee comparison table in the Insurance Product Replacement section and included the benefits gained and the benefits lost? 4. Finally, does the replacement of product result in lower fees? Actions Required: Cross check the SARA responses with the SOA. Does the adviser pass or fail this step? Why/Why Not? If the files meets the above criteria, the adviser passes this step. If the file does not meet the criteria, the adviser fails this step. If the adviser has not made a recommendation to replace an insurance product, this step is not applicable. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f6678c6f-36bd-4699-9fc5-a6ceb91a3031/step+12.png SARA Tips - Assessing SARA’s responses - Audit Question: Does the Statement of Advice include a section that discloses the fees payable by the client? SARA will list the following fees charged by the adviser: A fee for the preparation of the advice. A fee for implementation of the advice. An ongoing or annual advice fee. Upfront commission receivable for life insurance product/s (if applicable). Ongoing commission receivable for the life insurance products (if applicable). Action Required: Cross check the SARA response with the Fee Disclosure section in the SOA . Does the adviser pass or fail this step? Why/Why Not? If the Statement of Advice includes the above disclosure, the file passes this step. If the advisers above remuneration is not disclosed, the file fails this step. If the product fees are not included, the adviser fails this step. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/dd24f75e-08a9-4e46-a2bc-35992299302b/step+13.png SARA Tips - Assessing SARA’s responses - Audit Question: Has the adviser provided the client with an ongoing or annual fee agreement? SARA will summarise the services and costs under the agreement: 1. What are the services to be provided? 2. What are the fees payable under the agreement? Who will pay the fee and from which account? Action Required: Cross check the SARA response with the Fee Agreement. If the files meets the above criteria, the adviser passes this step. If the file does not meet the above criteria, the adviser fails this step https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/38b44589-3b47-42fc-864f-d513745ceffe/Print%2BReport.png SARA Tips - Assessing SARA’s responses - Print the Report Action Required: Click the ‘Print’ button to download report. Once downloaded, you can run a final check before PDF the file. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/cb970a35-d1aa-44c1-a355-08154c6bebe8/Upload%2BReport%2B.png SARA Tips - Assessing SARA’s responses - Action Required: Upload to iC2 SOA Upload the Compliance Report to the SOA Request in the ‘SOA Audit’ section. Update the SOA Status accordingly, and email the adviser with a notification of approval or any changes to be made. https://www.icomply2.com.au/sara-tips/adviser-pre-vetting-guide monthly 0.5 2025-07-17 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/78bbaeea-0044-488a-91c4-d6a64cdf930d/step+1.png SARA Tips - Adviser Pre-vetting Guide - Action Required: Select Add New, and then ‘New SOA Request’. Fill out the details of the SOA Request Popup. Make sure you load up the SOA in the SOA Request https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/8c8ef6ff-acca-4878-a682-2f906349a37a/step+2.png SARA Tips - Adviser Pre-vetting Guide - Action Required: Click ‘Send to SARA’ button .to fill out the details of the SARA review, and upload your SOA. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/134aeebd-9dd1-4b73-a07f-7f6033662fd0/review+type.png SARA Tips - Adviser Pre-vetting Guide - Action Required: Select ‘SOA Pre-Vet’ from the review type. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/271e08ea-f137-47bd-a41e-530bc097ea8c/advice+type.png SARA Tips - Adviser Pre-vetting Guide - Action Required: Select ‘Retail/Personal Advice’ from the advice type. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/5d93685f-e3b5-4ab3-a14a-289d09a008ee/soa+inclusions.png SARA Tips - Adviser Pre-vetting Guide - Action Required: Select the SOA Inclusions that are relevant for your SOA. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ab959970-fda4-4875-8713-9b7ad11ef6e3/upload+docs.png SARA Tips - Adviser Pre-vetting Guide - Action Required: Upload or drag and drop your SOA and any supporting docs. For best results, using document vision, where possible, convert your files to PDF. Click the Upload & Ingest for Pre-Vet button to send your SOS and supporting docs to SARA. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/2ef6e4ce-cf26-4262-bff5-fee2e0354eaf/ingestion.png SARA Tips - Adviser Pre-vetting Guide - SARA will ingest your document/s into the secure document vault for indexing. Once ingested, SARA will run the list of compliance checks on the document/s. You can track the progress by following the green ticks. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/008335ed-5713-4d1a-9b3d-dd44c546fe2a/report+builder.png SARA Tips - Adviser Pre-vetting Guide - Once completed, a new tab will open with the results. You can assess the responses from SARA in the Report builder wizard. Action Required: Read the responses from SARA and cross check SARA’s findings with the SOA. Did the customer file pass or fail this step? Why/Why not? Based on the response, SARA will determine whether the customer files passes or fails each check. You can refer to the assessment guide on the link below for more detailed information on the assessment of each step. https://www.icomply2.com.au/sara-tips/a-guide-to-using-sara https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ab2718d4-bd6c-4457-9db3-0e6225411847/fail.png SARA Tips - Adviser Pre-vetting Guide - Action Required: If SARA has identified that the file fails the relevant check, you can take the following steps. Update Your SOA: Update your SOA with the correct information. Then use the ‘Update and Recheck’ feature to send the new information to SARA for re-checking. Send to your Compliance Manager: An ‘Adviser Comments’ input will appear. You are able to make a comment on why the advice remains appropriate. This will be reviewed by the Compliance Manager You can now continue to complete the SARA wizard. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/bc03e112-963f-4fb4-b6c2-6593afccad2e/ste+p+4d.png SARA Tips - Adviser Pre-vetting Guide - Action Required: If SARA has identified that the relevant check is Not Applicable, you can mark the check as ‘Not Applicable’, and move to the next check. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/65e59b6b-e79e-4ba6-a6e2-7581c1fdec5c/step+5.png SARA Tips - Adviser Pre-vetting Guide - Action Required: At the completion of the wizard, click the ‘Print’ button to download the Compliance Report Action Required: PDF the final downloaded Compliance Report https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/211d31c1-0df4-4eff-9ba9-d56bf16f6e60/step+6.png SARA Tips - Adviser Pre-vetting Guide - Actions Required: Upload the Compliance Report to the ‘SARA Report’ in the Projects App. Actions Required: If the SOA passed all complaince checks, you can mark the SOA Status as ‘Approved’. If your SOA did not pass all checks it will need a review from the Compliance Manager. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b9fc230f-afbd-47b6-a9a9-43e383f2fb09/complaince+review.png SARA Tips - Adviser Pre-vetting Guide - Actions Required: Update the Status of the SOA to ‘Compliance Review’. This will notify your Compliance Manger that it needs checking. Ensure a copy of your SOA is uploaded in the SOA Doc section. https://www.icomply2.com.au/finley-tips-1 daily 0.75 2026-08-21 https://www.icomply2.com.au/finley-tips-1/completing-an-aml-check monthly 0.5 2026-08-21 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6c21dc17-464d-4120-be33-ec0befd0690d/create+new+identity+check.png Finley Tips - Completing an AML Check - From the client record in Finley: Select Identity Check from the left-hand menu. Click the + button in the top-right corner. Finley will open the Create Identity Check workflow. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/838a8731-8c45-4247-8b0f-d3ede25167e3/Identity+Details.png Finley Tips - Completing an AML Check - Select the relevant client or entity under Owner, then record the identification information used to verify their identity. Depending on the identification document and verification process, this may include: Verified From – for example, Driver Licence. Verification Method – for example, Original Sighted. Country of Residence. Name on Document. Date of Birth. Place of Residence. Expiry Date of the identification document. Card or Document Number (last 3 digits only). Verified Date. Verified By. The information entered should accurately reflect the identification document sighted or the verification process undertaken. Once the identity details have been completed, select Next to proceed to the AML/CTF risk assessment. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/8fd66dab-5d32-4f7c-87ac-d40292dfb1ef/Risk+Assessment.png Finley Tips - Completing an AML Check - The second stage is the Risk Assessment. Finley presents a series of questions designed to help you assess the AML/CTF risk associated with the client and the relationship. The assessment considers matters such as whether: You are reasonably satisfied that the client is who they claim to be. The person you are dealing with matches the identification information provided. Any structures or entities involved are not designed to conceal the identity of beneficial owners. The beneficial owners have been identified where relevant. The client is not a high-risk Politically Exposed Person (PEP) or an associate of a high-risk PEP. The client is not based in, or conducting business through, a high-risk foreign jurisdiction. There are any other circumstances that may increase the client's AML/CTF risk. Answer each question based on the information available and the enquiries you have undertaken. Where Finley provides an N/A option, this should only be selected where the particular question genuinely does not apply to the client or entity being assessed. https://www.icomply2.com.au/finley-tips-1/sending-a-digital-fact-find monthly 0.5 2026-08-14 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6f563238-b504-4ea6-8b4c-e4be0e3f500c/select+client+portal.png Finley Tips - Sending a Digital Fact Find - From the Left hand menu, select the ‘Client Portal’ icon. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/4081fd19-d9b5-4b04-b402-8e468e934e2b/show+login.png Finley Tips - Sending a Digital Fact Find - Search your client, and click ‘Show Login’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b00e423a-8978-423b-a6cc-ad45b5c7515c/create+client+logins.png Finley Tips - Sending a Digital Fact Find - You can generate new login details for your client using the ‘Create Login Account’ button. Once clicked, the login link, username and a temporary password will be generated for your client. Send the client the login details to create their login. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/d9ffc54d-f812-4307-a268-c7db1503e726/preview+fact+find.png Finley Tips - Sending a Digital Fact Find - In the action column, you can use the view icon to preview the clients view of the fact find. You can pre-populate any information for the client using their client profile in Finley. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/db3dd343-0a9c-476c-9c20-73dcaba93c08/fact+find+preview.png Finley Tips - Sending a Digital Fact Find - The fact find preview allows you to see what the client interface and the information loaded into the fact find. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/96890262-e9d2-48b2-a539-c7d11a0307ff/download+completed+fact+find.png Finley Tips - Sending a Digital Fact Find - In the action column, you can use the download icon to download a copy of your clients completed fact find. https://www.icomply2.com.au/finley-tips-1/finley-document-styling monthly 0.5 2026-06-04 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b67126dd-4f03-427d-85dd-8dc00937a1cd/document+styling.png Finley Tips - Finley Document Styling - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/finley-tips-1/finley-best-practice monthly 0.5 2026-05-24 https://www.icomply2.com.au/finley-tips-1/client-portfolio-datafeeds monthly 0.5 2026-08-21 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/a4bce9b5-6bc9-4daf-a27e-d4e06895d3e7/user+profile.png Finley Tips - Client Portfolio Datafeeds - Navigate to your User Profile by clicking on your initials icon in the top right navbar https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/696778ec-4fa6-44fa-b4a1-564553e845b0/datafeeds.png Finley Tips - Client Portfolio Datafeeds - Select ‘Datafeeds’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/189f3d80-66be-4fff-ae06-57cddb506b74/Client+Mapping.png Finley Tips - Client Portfolio Datafeeds - Select the investment platform you wish to configure and click the ‘Client Mapping’ button. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/e487ec25-dcd7-4fa3-b400-a143148a24c3/Adviser+Code.png Finley Tips - Client Portfolio Datafeeds - Enter your adviser code and click ‘Connect’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/a9e42b10-1127-46a5-bee1-252928de0604/account+mapping.png Finley Tips - Client Portfolio Datafeeds - From the client profile in Finley, click on Portfolio in the left menu. Then click ‘Add Mapping’ to link an account datafeed to a client profile. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/a8df2624-5b22-4816-b174-cd7ab7a52e32/complete+mapping.png Finley Tips - Client Portfolio Datafeeds - Complete the mapping popup. Make sure you include the External Client ID and External Account ID to map the acccunt to your client profile. Once completed, click Create Mapping https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/cc90b6a9-f261-4a82-87b4-7ef5d90489a0/Add+Off+Platform+Assets.png Finley Tips - Client Portfolio Datafeeds - From the Portfolio menu, create an off-platform portfolio by clicking the ‘+’ icon in the top right https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/05730b9f-e56b-40e4-a796-ccd8889550ce/portfolio+owner.png Finley Tips - Client Portfolio Datafeeds - Select the portfolio owner from the dropdown https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/505cf3bd-f34b-4d90-ad16-474f03c3e482/acount+details.png Finley Tips - Client Portfolio Datafeeds - Create the account name and give the account a brief description https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b59919f5-49c5-43d2-bf5b-2e026c6b0af6/underlying+holdings.png Finley Tips - Client Portfolio Datafeeds - Complete the underlying holdings detail in the off-platform portfolio Click ‘Add Holding’ Once all investments are picked, click ‘Save Portfolio’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/a1a4e2a1-8f82-4872-a5f6-f809b11638c0/portfolio.png Finley Tips - Client Portfolio Datafeeds - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/finley-tips-1/productrex-integration monthly 0.5 2026-08-14 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/25b24e3b-f240-4ea7-84bb-965a3a3fd32d/open+user+profile.png Finley Tips - ProductRex Integration - Click the ‘Me’ icon in the top right to open your user profile https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ddf2071a-3c74-4187-9c7f-28e374460551/connect.png Finley Tips - ProductRex Integration - Select Integrations, then click ‘Connect’ in the ProductRex integration https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/5948db73-ca1d-4d27-86e4-a06b199e33cb/authorise.png Finley Tips - ProductRex Integration - Click Authorize to allow Finley to connect to your ProductRex account https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/c7f9a3df-7d5f-45d2-a7df-d5a60e598792/successfulyly+connected.png Finley Tips - ProductRex Integration - Once successfully connected, you will be redirected back to Finley and the ProductRex integration status will update the Connected. You can now use your Product scenarios to pull through to SOA’s. https://www.icomply2.com.au/finley-tips-1/using-the-projections-workspace monthly 0.5 2026-08-11 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/798fd440-71fb-49e3-927c-815a94f2bfcc/Create+new+scenario.png Finley Tips - Using The Projections Workspace - From the client profile, select Projections in the left menu, and click the + icon to create a new scenario https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/64118d27-7314-416f-b210-3f5bc6bac5db/Scenario+name.png Finley Tips - Using The Projections Workspace - Give your new scenario a name, and click ‘Create Scenario’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/7df63a8b-23e1-4951-83f7-c94426d495cb/import+fact+find.png Finley Tips - Using The Projections Workspace - Click ‘Import Fact Find’ to pull through your Fact Find data into the Projections Workspace. Alternatively, you can upload the client fact find and Finley will populate the projections workspace from the fact find data. ‘Once the data is imported, click ‘Run Projections Model’ https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/b722c5c1-3907-4897-8dc7-4a0d301491cb/Configure+scenario+variables.png Finley Tips - Using The Projections Workspace - By Default, the projection Workspace will create a ‘Current Situation’ scenario. Using the ‘Scenario Inputs’, you can configure your scenario variables to map out your client’s current financial situation, before creating any recommended scenarios. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ed6e94a2-0e9c-456e-875e-cc1a395e7c32/assets+and+liabilities.png Finley Tips - Using The Projections Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6dffa65c-ce7a-46d6-a6b7-c6fa4c1a2eb5/review+projections.png Finley Tips - Using The Projections Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/80a8a17f-f116-4fd2-9631-29ed1bb3f584/bar+chart.png Finley Tips - Using The Projections Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/71ca96f5-4ac5-4d09-8d1e-a1c675a09bff/create+new+scenario.png Finley Tips - Using The Projections Workspace - Copy to new scenario https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/fff38ad7-426c-4c61-9185-32532827be0f/name+scenario.png Finley Tips - Using The Projections Workspace - Give your new scenario a name e.g. Retirement Planning https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f441badd-6516-4c5e-99d3-f82c798abced/add+assets.png Finley Tips - Using The Projections Workspace - Make it stand out Update assets, add an asset, sell an asset, add or drawdown on a loan and make lump sum repayments https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/66eaba77-8fdd-4139-9f57-367450b84033/add+contributions.png Finley Tips - Using The Projections Workspace - Make it stand out Add super contribution strategies or rollover to pension https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/99667897-4214-4a94-a76b-8cd45ff7d464/withdraw+lump+sum.png Finley Tips - Using The Projections Workspace - Make it stand out Make lump sum pension withdrawals https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/8767e023-e646-4290-959f-1402293235f5/pull+scenario+into+SOA.png Finley Tips - Using The Projections Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6e54ef08-7ed3-4ee6-8066-cf658bf21ace/export+to+excel.png Finley Tips - Using The Projections Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/finley-tips-1/using-the-finley-ai-console monthly 0.5 2026-05-06 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/4bebf929-46a4-4e6f-aee3-345ac0ab8378/selecting+a+client.png Finley Tips - Using the Finley AI Console - 1. Open The Client Go to the client profile, then open iC2 Wizards → Statement of Advice. 2. Create Or Open An SOA Scenario Click the + button to create a new SOA scenario. Give it a clear name, for example: “Retirement Advice - May 2026” If a scenario already exists, click Open scenario. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/d232ab77-24b1-4b56-990c-397e461afed5/upload+files+to+Finley+Console.png Finley Tips - Using the Finley AI Console - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f6831ed2-f845-440a-940b-24fa943f8a58/finley+ai+console+tasks+.png Finley Tips - Using the Finley AI Console - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/10c034af-3106-4019-8d2a-cab4fd47a8b2/refining+sections.png Finley Tips - Using the Finley AI Console - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/finley-tips-1/completing-an-soa-in-finley-soa-builder monthly 0.5 2026-08-11 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1e6f3190-8fa5-4900-a8b1-fda6c26cac92/create+SOA+scenario.png Finley Tips - Completing An SOA In Finley SOA Workspace - From the client profile, select ‘Statement of Advice from the left menu. Click the + button to create a new SOA scenario. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6377487f-fba5-44c1-8a77-0c78eef073f1/SOA+scenario+name.png Finley Tips - Completing An SOA In Finley SOA Workspace - Give the scenario a clear name, for example: “Retirement Advice - May 2026” Click ‘Create scenario’ button to create the new SOA scenario https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/72dc499d-c160-408b-ac54-2baf47002967/soa+inclusions.png Finley Tips - Completing An SOA In Finley SOA Workspace - From the SOA Blueprint, select the advice inclusions relevant for your SOA. These inclusions will prompt you to pull through the relevant research module scenarios. Use Add files button to add the relevant SOA source documents, such as: Fact Find File notes Strategy paper Insurance quotes Research documents Fee consent or engagement documents https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/c897aef5-39bc-40ab-bfdf-90ea189c3453/further+instructions+.png Finley Tips - Completing An SOA In Finley SOA Workspace - Finley will detect certain document types automatically, such as Fact Find detected or ProductRex detected. Map Fact Find Data (If Needed) If a fact find is uploaded, click Map to profile. Finley will extract the data and populate the client fact find. Review the extracted data, then click Apply to client profile if the mapping is correct. This updates the fact find before the SOA is drafted. Tell Finley What The Advice Is About In the chat box, describe the SOA Request in plain English. Make sure you cover off on advice scope, recommendations, product advice, upfront and any ongoing fees and any other information. Include anything important that may not be obvious from the documents. Click Send https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/fee5cc2f-3e87-4211-b054-0d917f856cb6/intake+summary.png Finley Tips - Completing An SOA In Finley SOA Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/ca0e5040-d66d-40eb-9ea6-acb3194ebb09/answering+further+questions.png Finley Tips - Completing An SOA In Finley SOA Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/bf17a123-5d79-4b25-a223-11b68ada740d/start+SOA+Workflow.png Finley Tips - Completing An SOA In Finley SOA Workspace - Once documents are uploaded and the brief is clear, click Start SOA workflow. Finley will create the editable SOA workflow sections and open the live SOA render. You can bypass the follow up questions at any time by clicking Start SOA Workflow. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/71aaa7d2-39a0-4486-a6b3-77b403a6ad64/work+through+the+SOA.png Finley Tips - Completing An SOA In Finley SOA Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/217a1338-c6ca-47c7-89e5-9d5dd287c323/making+changes.png Finley Tips - Completing An SOA In Finley SOA Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/93b8a9d6-0ef8-4348-9182-99cdd87d07f1/Open+Projection+Workspace.png Finley Tips - Completing An SOA In Finley SOA Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/8fe3bb33-6bbb-427d-9859-234cdf95f78e/Export+to+Word.png Finley Tips - Completing An SOA In Finley SOA Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/51ebe800-49da-43bb-95bd-65bf2e4b9ab5/document+styling.png Finley Tips - Completing An SOA In Finley SOA Workspace - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/finley-tips-1/Blog Post Title One-3zaa9-zlxng-h8b3e monthly 0.5 2026-05-05 https://www.icomply2.com.au/home-1 daily 1.0 2026-07-08 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/6b986a72-ecc6-4316-97d2-f4b765deb8ff/3.png https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1d564ef7-6eb8-41e0-aba3-39bf6c1113e7/1.png Home - Finley You didn't become a financial adviser to spend your days entering data into a CRM. Most CRMs are built to store records. Finley is built to move work forward. Finley reimagines the client relationship from the ground up — placing AI at the centre of how advice actually gets done. Tell Finley what you need: a file note, a paraplanning brief, a Statement of Advice. It handles the heavy lifting so you can focus on what matters most — your clients. This isn't a smarter CRM. It's a completely different way to work. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/fa6aca00-0306-4ae5-8258-b4e987d713ef/2.png Home - Sara Your Statement of Advice Review Assistant (SARA). SARA is an AI powered AFSL Compliance Assistant, built to assist in the pre-vet of advice documents. SARA is NOT like other compliance solutions! SARA is different - because the technology uses Artificial Intelligence (AI), SARA is able to understand the clients objectives, relevant circumstances and the recommendations provided. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/497bd7ed-24a9-4664-ba22-8f17df8c2129/Rima+Image.png Home - Rima Your RCTI and Invoice Management Agent RIMA is an adviser pay run and RCTI reconciliation agent designed to manage the flow, reconciliation, and processing of Recipient Created Tax Invoices (RCTIs) and adviser revenue data. https://www.icomply2.com.au/demo daily 0.75 2025-04-19 https://www.icomply2.com.au/about-us daily 0.75 2026-03-06 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1607381381433-6MHIVNPUI73KKPWJ9M85/paper+planes+blue-01.jpg Our Story https://www.icomply2.com.au/contact-sales daily 0.75 2026-03-06 https://www.icomply2.com.au/terms-of-service daily 0.75 2022-06-09 https://www.icomply2.com.au/privacy-policy daily 0.75 2026-06-24 https://www.icomply2.com.au/ofa-consent-template daily 0.75 2025-06-17 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/3384347b-d72c-4ba6-a4e1-86c462a50cc6/Disclosure+Wizard.png OFA Consent Template - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/e9a00f03-0b54-49c3-bdea-463dc765b3e2/Fee+Consent+Renewal.png OFA Consent Template - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/cfa40e21-87ce-4c73-b106-ecbf150cfd8e/FDS+Letter+Type.png OFA Consent Template - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/acceptable-use daily 0.75 2022-06-09 https://www.icomply2.com.au/terms-of-use daily 0.75 2022-06-10 https://www.icomply2.com.au/2fa daily 0.75 2022-06-30 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1619751295175-CAI8LWDU5776FPA9O56A/Ic2+app+logo+-+circle.png 2FA https://www.icomply2.com.au/xplan-integration daily 0.75 2022-07-01 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1628725834052-KAR2TVROHPI0VOWCX7AO/MicrosoftTeams-image+%281%29.png Xplan Integration - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/880e2752-fb86-4d7b-909a-7da1a14d587c/connect+to+Xplan.png Xplan Integration - Make it stand out Xplan Connection Icon https://www.icomply2.com.au/finley daily 0.75 2026-05-23 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/00573348-b7e5-434c-8636-33e8d370f07e/Finley+-+Transparent.png https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/172b776b-8279-48a2-b2e8-1b04537d4c73/Finley+Workspace.png Finley - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f23e5a10-4482-4e3d-a4bf-e35a48a6dbb7/SOA+Workspace.png Finley - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/sara daily 0.75 2026-07-08 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/fa6aca00-0306-4ae5-8258-b4e987d713ef/2.png https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/80318f57-94fc-493c-bd6e-0b92e353019f/Pay+As+You+Go.png https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/1e8c2d29-5e3e-4808-9443-a379d3fec921/Monthyl+subscription.png https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/680c0dcc-aad5-45fe-b21e-f16f7f6740a2/enterprise.png https://www.icomply2.com.au/privacy-policy-sara daily 0.75 2026-06-04 https://www.icomply2.com.au/terms-of-service-sara daily 0.75 2024-10-09 https://www.icomply2.com.au/terms-of-use-sara daily 0.75 2024-10-09 https://www.icomply2.com.au/sara-pilot daily 0.75 2026-03-06 https://www.icomply2.com.au/insurance-consent daily 0.75 2025-06-25 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/615e2c2b-39be-4a79-ae14-16ba47c707e4/Insurance+Consent+Iamge.png Insurance Consent - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/9702945d-6bb2-45f1-868c-ff8276e9a86a/what+recommendations.png Insurance Consent - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/20099288-1c6f-4df1-9b04-8ee16f8f0967/Insurance+Commissions+Screenshot.png Insurance Consent - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/dbcc4a72-5cd4-496e-b6bc-9f3df9a0291e/ATP+Screeenshot.png Insurance Consent - Make it stand out Whatever it is, the way you tell your story online can make all the difference. https://www.icomply2.com.au/rima daily 0.75 2026-03-06 https://images.squarespace-cdn.com/content/v1/5fa45851ca6ab613ba4f6da9/f8a4c973-053d-4d01-b071-d338953fab71/ChatGPT+Image+Mar+6%2C+2026%2C+08_55_59+AM.png