The Five Pillars of Enterprise Governance
Discover how Ordexa's comprehensive platform covers every aspect of financial advice documentation—from initial capture to long-term compliance.
Evidence Capture
Record and transcribe every client conversation with enterprise-grade security. Our AI-powered transcription ensures accurate documentation of advice discussions, creating a verifiable record of what was said and when.
Key Benefits
- Reduce note-taking burden on advisers
- Create unambiguous evidence of advice given
- Improve compliance audit outcomes
- Enable quality assurance reviews
Features
- Compliant audio recording with consent management
- AI-powered transcription with high accuracy
- Automatic speaker identification
- Timestamp-linked playback for verification
- Secure storage with encryption at rest
- Integration with video conferencing tools
Document Creation
Generate compliant Statements of Advice, Records of Advice, and client documentation using intelligent templates that adapt to your advice process and ensure regulatory alignment.
Key Benefits
- Reduce document preparation time by 60%
- Ensure consistent compliance standards
- Minimize manual errors
- Accelerate advice delivery
Features
- Dynamic SOA/ROA template engine
- Auto-population from client data
- Compliance checklist integration
- Version control and change tracking
- Multi-format export (PDF, DOCX)
- Brand-customizable templates
Review & Sign-off
Streamlined review and approval workflows with role-based access controls. From paraplanner to adviser to compliance officer, every stakeholder has clear visibility and accountability.
Key Benefits
- Eliminate bottlenecks in review process
- Ensure proper oversight and accountability
- Meet Best Interests Duty documentation requirements
- Speed up client document delivery
Features
- Configurable approval workflows
- Role-based access control (RBAC)
- Digital signature capture
- Review comments and annotations
- Escalation and reminder automation
- Audit trail of all approvals
Records & Audit Trail
Maintain complete, immutable records of all advice activities with comprehensive audit trails. Meet your 7-year record-keeping obligations with confidence.
Key Benefits
- Pass compliance audits with confidence
- Respond quickly to regulatory inquiries
- Protect against disputes and complaints
- Reduce risk of non-compliance penalties
Features
- Immutable record storage
- Full audit trail with timestamps
- Advanced search and retrieval
- Bulk export for regulatory requests
- Retention policy automation
- Secure archival and destruction
Compliance Controls
Pre-built compliance frameworks aligned with ASIC requirements, Best Interests Duty, and FASEA standards. Stay ahead of regulatory changes with automatic updates.
Key Benefits
- Reduce compliance risk exposure
- Stay current with regulatory changes
- Demonstrate compliance to licensees
- Build client trust through transparency
Features
- ASIC RG 175 alignment
- Best Interests Duty checklists
- FASEA Code of Ethics integration
- Conflicted remuneration controls
- Ongoing fee arrangement management
- Regulatory update notifications
See These Capabilities in Action
Schedule a personalized demo to see how Ordexa can transform your compliance workflow.
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