top of page

Quarterly Safety & Success Program

Your Quarterly Safety & Success Program commences this quarter.

The quarterly reporting program that we announced earlier this year is now available in the adviser portal for you to preview. The program includes a short questionnaire for you to complete at the end of each quarter, which means you return the current quarter's questionnaire in early October. The questionnaire (in editable pdf and word doc formats) are now available for download on the Checklists page HERE.

Currently there are something like a dozen often-overlapping Legislative Acts governing our activities as financial advisers, plus half a dozen or so Regulators administering those laws. The ‘Quarterly Safety & Success Program’ was developed in light of even more legislation that was enacted late last year, significantly increasing adviser conduct and reporting responsibilities.

While there is a strong compliance aspect to this program, its purpose is to simplify the complexity you face as a financial adviser plus give you a tool to ‘safety check’ the health and direction of your business. We’ll be publishing more guidance on the program as we approach the end of the quarter, and Daniel will also be in touch with you directly and individually to discuss your own particular circumstances.

63 views0 comments

Recent Posts

See All

Quarterly Safety & Success Program - Q2 2024

Quarter 2 (April-June) of the Quarterly Safety & Success Program is now available for you to download from the Checklists page HERE. Please complete your declaration by 1st August 2024 and email it to

Unallocated fee payments

Select the click here button below to view this week's unallocated fees which include payments received up to COB 18th July 2024.


bottom of page