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Review Every Statement of Advice in Minutes, Not Hours

Spend less time reviewing advice and more time serving clients, without compromising on compliance.

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Smarter means

A second pair of eyes on every SoA

Consistent  review frameworks

Peace of mind at a fraction of the cost

Practical, actionable outputs

AI-Powered reviews purpose built for Advisers

AI Scoping & Tailored Assessments

Regi's targeted assessment is tailored to the advice types identified within the Statement of Advice

Over 100 targeted review points

Regi assesses advice against over 100 potential review points, depending on the identified scope 

Tailored findings and action plans

Regi provides structured commentary, and recommendations, based on the findings identified

Designed for Advice Reviews and Pre-Vetting

Both workflows use AI-assisted scoping and targeted reviews to streamline advice assessment workflows.

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How Regi Works

Minimal admin. Let Regi handle the heavy lifting.

Create an account in < 1 minute

Select pre-vet or full review

Upload SoA & supporting documents

Regi scopes the advice and tailors the review

Regi assesses the advice

Regi provides detailed findings and recommends actions

Regi's Scoping Areas

Regi dynamically scopes the review based on the review type and advice areas identified within the Statement of Advice.

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Best Interest Duty

Code of Ethics

Fee Arrangements

AML/CTF

Data Collection

Alternative Products

Replacement Products

Implementation

Superannuation

Insurance

Pension

SMSF

Margin Lending

Centrelink

MDA

Sample RegiReview Output

Clear Commentary and Actionable Recommendations

REVIEW AREA: STATEMENT OF ADVICE

Question: Have assumptions and projections been clearly documented and are they reasonable?

Example Finding

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I identified that the SoA uses projection-based figures for interest income, tax savings, pension commencement value, minimum pension payments and retirement income, with supporting material also referring to a retained cash reserve, super contribution timing and an assumed 4.0% cash return.

 

I was unable to identify a clear assumptions section within the SoA setting out broader projection inputs such as investment return, inflation, retirement horizon or escalation rates, and the basis for projected outcomes is only partly transparent.

Under s947B and 961B of the Corporations Act, material assumptions underpinning projections should be clearly disclosed and linked to the client’s relevant circumstances so projected outcomes can be understood in context.

Example Recommendation

Consider enhancing the SoA disclosure relating to projections and modelling assumptions by documenting the key assumptions underpinning projected outcomes, including assumed investment returns, inflation rates, retirement timing, income escalation rates and cash reserve assumptions.

​

Where projections are relied upon to support the recommendations, consider linking the assumptions to the client’s relevant circumstances and retaining supporting modelling or research demonstrating the basis for those assumptions.

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