Embedded Files
With the new regulations, as a Director/ Business Owner / Adviser, you are required to establish effective governance and oversight to ensure that your FAP operates according to documented policies and processes that fulfill your licensing obligations. At TAP, we strive to offer a compliance subscription service that assists you in achieving this without imposing significant costs or time commitments.
Annual FAP Review
Annual FAP Review
An evaluation of your business's adherence to documented policies and processes, registration requirements, and support for updating any areas that require attention.
Quarterly Reports
Quarterly Reports
Stay on top of your compliance responsibilities with quarterly reports that deliver all the essential metrics needed to monitor your FAP effectively.
Client File Audits
Client File Audits
TAP will conduct audits of three complete client files twice a year, reviewing the completion, consistency, and accuracy of compliance documentation. Following the audit, we will provide a comprehensive feedback report along with recommendations.
Annual to FMA / Provider Review Support
Annual to FMA / Provider Review Support
If you are selected for an FMA or Provider review, we will be available to answer any questions and assist you with their requests.
Access to Compliance Support Team
Access to Compliance Support Team
If you have any questions—whether about your compliance requirements, a complaint, or anything else in between—the compliance team is here to assist you.
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