Advice reviews and governance

At Compliance Refinery, our Advice Reviews and Governance service helps FAP businesses improve advice quality, strengthen oversight, and build a strong culture of accountability.

It combines structured file reviews with practical governance support to ensure your business stays compliant, efficient, and continuously improving.

Advice reviews and governance

What this service does

We review your financial advice process and governance framework to ensure:

Advice is suitable, consistent, and well documented
Governance structures are working effectively
Regulatory obligations are being met
Risks are identified early and managed properly

Key focus areas

Advice file quality and compliance
Board and governance reporting
Adviser conduct and performance
Risk identification and mitigation
Record keeping and audit readiness

How it works

Regular advice file reviews
Governance and risk assessment
Clear reporting with improvement actions
Ongoing feedback and support
Continuous improvement tracking

What you get

Structured review reports
Governance insights for Directors
Risk and compliance findings
Action plans for improvement
Better oversight of adviser performance

Outcome

This service helps you move from basic compliance to strong governance and high-quality advice delivery, giving your business more control, clarity, and confidence.

Advice reviews and governance