COMPLIANCE MONITORING

Built-in compliance for modern advice firms

Adiso helps advice businesses maintain strong compliance by embedding compliance monitoring directly into the advice process. Rather than reviewing files after the fact, the platform supports advisers in following the correct steps throughout the client journey. By combining structured workflows with AI-powered analysis, Adiso helps firms ensure advice processes align with both internal frameworks and regulatory requirements.

Compliance built into every interaction

Adiso captures information from meetings, client records and advice processes to ensure the correct steps are followed during client interactions. When a meeting or advice process is identified as a particular type — such as KiwiSaver advice or insurance onboarding — the platform can check whether the required topics and disclosures have been covered. This reduces the risk of compliance gaps occurring through oversight and ensures advisers can confidently demonstrate that their advice process meets regulatory expectations.

Compliance monitoring — quality assurance compliance check in Adiso

Automated compliance checks

Adiso can analyse client meetings and documentation to identify whether key compliance steps have occurred — such as required disclosures, risk profiles, client needs and objectives, and advice options being clearly explained. If required steps appear missing, the system can highlight these areas so they can be addressed.

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Clear audit trails

Every interaction within Adiso is connected to the client record. Meetings, communications, documents and tasks are all recorded within the platform, creating a clear and structured audit trail. This helps advice firms demonstrate how advice was provided and what information supported each recommendation. Having a complete, time-stamped record of all activity also supports any review or audit process, whether conducted internally or by an external regulator.

Compliance insights across the firm

Adiso allows firms to review compliance activity across advisers and advice lines. This visibility helps identify patterns, highlight potential risks and ensure consistent advice processes across the organisation.

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Supporting regulatory frameworks

Adiso is designed to support the compliance requirements of financial advice businesses. The platform can incorporate internal compliance frameworks and is designed to align with relevant regulatory standards, helping firms maintain structured compliance processes while reducing the administrative burden on advisers.

Compliance monitoring is integrated with meetings, client records, tasks and advice tools. This ensures that compliance forms a natural part of the advice process rather than a separate activity.

See how it works

Book a demonstration to see how Adiso helps advice firms maintain strong compliance while supporting efficient advice delivery.

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