SMART Compliance

SMART Compliance manages day-to-day compliance for dozens of small, independent Australian financial services (AFS) licensees and each year helps many more advisers achieve their goal of becoming independent advisers.

Technology plays an important part in the way SMART looks after its clients. Risk management software developed by SMART since 2003 is at the core of its "Work Smarter, Not Harder" ethos.

SMART's Principal, Brett Walker LL.B., has been engaged in the financial services industry continuously since 1991 when he joined the just established Australian Securities Commission (ASC) in its New South Wales regional office in Sydney as an investigator. At the ASC he was involved in licensing and adviser surveillance throughout New South Wales.

In 1994 Brett was seconded to the advice industry's then peak body, the Financial Planning Association of Australia (FPA), and delivered licensing and compliance expertise across the country to the FPA's 10,000+ members. In 1998 he joined Bridges Personal Investment Services as a financial adviser — an invaluable experience for him while he also consulted to the industry as a compliance expert. In 2000 he commenced SMART Compliance as a full-time licensing, compliance and risk management service provider to the financial services industry.

Free helpline: SMART Compliance provides a support service in relation to Limited AFS Licence Application packages ordered through Cleardocs. If you have a query, ring the Cleardocs helpline on 1300 307 343. If you have a question about the nature, content, use and drafting of the Limited AFS Licence Application package, we can arrange for you to speak with SMART Compliance. If you require other advice in relation to your particular circumstances, this will be charged for.