Introducing Insight Investment Partners, Our Mission, Values, Compliance Culture and Key Contacts.

An overview of the professional and ethical framework we operate in and details the practical application of that frameworks.

We are excited to have you onboard.

Let’s take a look at the background checks and steps for joining IIP as an Authorised Rep.

Now you are Authorised, let’s look at how you can access your FSG to provide to your clients.

This article explains the client transition framework used at IIP and outlines the key steps advisers must follow when onboarding clients after joining the licensee.

Moving to Insight Investment Partners (IIP) involves updating your arrangements with the platforms, insurers and other product providers that hold your clients’ accounts.

IIP Admin Support will coordinate these transfers once your appointment with IIP is finalised.

Feeling a bit lost and need some help? Let’s go through what actions you can take to ensure you can get the support you need from our subject matter experts.

Do you have an SOA for our paraplanning service?

Follow this guide to assign the SOA for paraplanning

Together, Finley, SARA and RIMA support three essential parts of running a modern financial advice practice:

Maintaining 2 CRM’s is a headache.

So we have integrated iComply2 with Xplan, so you can maintain your client records in one CRM.

Connecting to Xplan is simple.

Introducing SARA, your AI powered compliance assistant.

Sara is an integral part of our advice monitoring and supervision framework.

Pre-Vetting with the new Sara

We have re-built Sara, the Statement of Advice Review Assistant.

You can create your SOA Vetting Request and send the SOA to Sara from within the new Sara App.

Has Sara marked any compliance checks as Review or Fail?

Using the re-check functionality, you can re-upload your updated documentation to Sara for a re-check.

Sara will review the updated documentation against any flagged checks.

You can access all our AFSL Advice Policies from the Advice Policy Register in Sara

Templates, templates, templates.

All the advice templates you need to provide compliant advice to your clients.

Sometimes, things go wrong.

When running a financial advice business, it is expected that breaches and incidents will occur.

Nobody is perfect and breaches and incidents will happen.

All complaints must be handled in accordance with the Licensee processes.

Before resolving any complaints, report the complaint and refer to the complaints handling process.

Do you want a product added to the APL?

Using the iC2 Compliance Hub, you can request one off, or general approval for new product.

Have you received a non-cash benefit?

In this guide, we will go through the steps involved to log a non-cash benefit with IIP.

Store Sophisticated Investors Certificates in the SPI Register.

In this guide, we will go through the steps involved to add a Sophisticated Investor Certificate to the register

Understand our fee collection process.

What fee types can i charge, and how can i collect the fees from my clients.

Licensee Invoice systems can be clunky..

The challenge has been that there are too many moving parts

The invoicing and accounting is done in Xero, the client CRM is Xplan (or similar), the revenue management is done by Revex….

But all these systems don’t talk…..

Set Up Direct Debits For Your Fee Agreements

Let’s take a step by step look at how to create direct debits in iC2 Revenue using the Ezidebit payment solution

Let’s Get To The Good Stuff.. How Do You Get Paid?

We have created a dedicated portal for managing adviser pay runs.

Need to process a rebate to a client?

Complete the Client Rebate Authority and send through to support

The provision of personal financial advice in Australia is governed by a robust regulatory framework.

Here’s an overview of the Key Steps in the Advice Process.

Providing financial advice begins with clarity—and that starts with an engagement letter.
Here’s why this simple document plays a crucial role in every client–adviser relationship.

Understand what constitutes a client review and the documentation requirements

Effective client file management is essential to demonstrating professionalism, regulatory adherence, and a commitment to acting in clients’ best interests

Gain clarity on when an ROA can be used for further advice through commonly asked questions covering key requirements, limitations, and compliance considerations. This lesson helps you understand when a full SOA is required and how to apply the guidance in practice.

Our aim is to establish a robust framework for the provision of financial advice.

This ensures consistent delivery of high-quality financial advice.

Adequately preparing for your audit will ensure a smooth review experience.

Here’s an overview of the File Audit Process

Your compliance manager has made a draft report of the initial findings

You can review the findings in raise any disputes or concerns before the report is finalised

Your file review has been finalised

Let’s take a look at how you can action any observations made by the file reviewer

SMSFs can provide flexibility and control, but they also carry higher risk and responsibility. This lesson highlights the key considerations advisers must assess before recommending an SMSF, focusing on suitability, risk, and regulatory expectations.

SMSF strategies involving property and referral networks carry heightened regulatory and client risk. This lesson outlines ASIC’s concerns and explains why advisers retain full responsibility for property‑driven SMSF recommendations.

A significant change has now taken effect for Self-Managed Superannuation Funds (SMSFs) using Limited Recourse Borrowing Arrangements (LRBAs).

From 10 August 2026, SMSFs are generally prohibited from entering into a new LRBA to acquire residential real property.

This lesson sets out the Licensee’s standard for entering into and maintaining Ongoing Fee Arrangements (OFA).

Test your knowledge of OFA’s

Consent To Renewal

Renewal can be done within the period starting 60 days before the Reference Date and ending 150 days after the Reference Date.

This lesson sets out the Licensee’s standard for correctly setting and managing the Reference Date within Ongoing Fee Arrangements (OFAs).

This lesson sets out the Licensee’s standard for entering into and maintaining Fixed Term Fee Arrangements (FTA)

From 31 March, 2026, the government is making changes to simplify and modernise the AML/CTF regime.

These changes to Australia’s anti-money laundering and counter-terrorism funding (AML/CTF) regime help us build a stronger, more proactive intelligence picture.

Simply collecting a copy of a clients ID is only part of your process.

Your initial and ongoing customer due diligence (CDD) obligations start with understanding the money laundering, terrorism financing risks (ML/TF risks) of your customer.

Let’s look at the risk ratings

You have identified your client as low-risk. You must now establish and verify the identity of your customer.

You are expected to collect enough information to verify and distinguish the individual customer from another individual with the same or similar name and other details. 

Enhanced CDD plays an important role in detecting, disrupting and preventing ML/TF. Conducting enhanced CDD helps you identify, assess, manage and mitigate a customer’s ML/TF risks. 

Enhanced CDD must be applied in specific circumstances.

Make and keep records that show compliance with AML/CTF obligations.

We have released the new Risk Assessment Form in the Compliance Hub. If you use either Xplan or iComply2, you can record your risk assessment directly in the CRM

We have created suspicious activity indicators to help you identify potential money laundering, terrorism financing and other serious criminal activities. These indicators can inform your transaction monitoring alerts that trigger further review. 

Gain clarity on key AML/CTF reforms through commonly asked questions covering regulatory changes, compliance impacts, and practical next steps. This lesson helps you understand what’s changing, why it matters, and how to apply the reforms in your role.

Website Disclosure Information gives advisers the flexibility to decide how they disclose information to clients that is otherwise required to be in an FSG

As part of the Delivering Better Financial Outcomes (DBFO) Package, the Albanese government has made amendments to the obligations relating to ongoing fee arrangements and consents.

From the 9th July 2025, advisers that receive commissions as part of the issue or sale of life insurance to a retail client in personal advice situations must obtain informed consent.

Cyber security isn’t just an IT problem — it’s a core business risk for every financial-advice practice.

As custodians of sensitive client data and regulated financial transactions, advisers must understand how even a small lapse can create large-scale harm.

What are you up against every day?

The key attack vectors criminals use to steal money or data from advice businesses

Learn the basics.

It’s easy to improve your cybersecurity! Take these simple steps today to protect yourself.

Golden Rule: Speed, structure, and transparency.

The longer an incident goes uncontained, the higher the financial, legal and reputational cost.

This lesson covers your obligations under Artificial Intelligence (AI) Usage Policy in relation to the three AFSL-approved public AI tools: Claude (Anthropic), Grok (xAI), and ChatGPT (OpenAI).

How to enable and use Microsoft 365 Copilot across your Microsoft 365 apps — and why connecting Claude or other third-party AI tools to those same services is not permitted.

We are in the process of obtaining group wide cyber cover. Watch this space as we finalise the policy

We are in the process of obtaining group wide cyber cover. Watch this space as we finalise the policy

Understand your professional CPD obligations, including minimum hours, activity types, and reporting deadlines. This lesson will guide you through planning, tracking, and reviewing your CPD to ensure ongoing compliance and continuous professional development.

Learn how to accurately record and maintain your external CPD activities in OnTrack (Kaplan) to ensure compliance and up‑to‑date professional records.

Something not working as expected?

If you need any assistance, you can raise a support request.