Is your financial planning business Tranche 1 Reform Ready?

AML/CTF Policy

Your foundational compliance document. Drafted specifically for Item 54 financial advisers, this policy sets out your obligations, your approach to managing ML/TF risk, and the framework your practice operates within. Required by law — and written in language your whole team can understand.

Business Risk Assessment

Before you can manage your risk, you need to understand it. This assessment identifies and rates the money laundering and terrorism financing risks specific to your practice — your clients, services, delivery channels and geography. The foundation everything else is built on.

AML/CTF Process Guide

The day-to-day operational manual for your practice. Covers every process your staff need to follow — from onboarding a new client through to identifying suspicious activity and reporting to AUSTRAC. Step-by-step, plain English, and built around how financial advisers actually work.

Staff Training Slides

Your team needs to understand their obligations — and be able to demonstrate they do. These presentation slides cover the full AML/CTF training requirement in plain language. Delivered, documented, done.

Knowledge Quiz & Quick Reference Guide

A practical companion tool for your team. The quick reference guide gives staff instant access to key obligations, timeframes and processes. The knowledge quiz lets you test and document staff understanding — essential for your compliance records.

GRACE — Guardian Risk Assessment & Compliance Expert

Meet GRACE. Our smart, automated client onboarding toolkit built specifically for financial planning practices.

GRACE guides you through every step of your client onboarding process — from identity verification and sanctions screening through to PEP assessment and ML/TF risk rating. All in one place. All in plain English.

Covers individuals, companies and trusts. Designed to be completed during the onboarding process and exported as a PDF record for your client file forming evidence of your complete CDD process.

Please contact us to discuss your needs and pricing.