About 4 years ago we were looking for a comprehensive compliance service to replace our dealer group offering. Rhett and his team were known to me from my attendance at conferences and his compliance advice involvement with our business. Given the high regard I had for Rhett and his company in terms of their knowledge, integrity and industry specific experience it was a natural choice to engage their services for our AFSL.

Given the hands-on and accessible manner in which Rhett operates his business, we typically receive clear, concise and well-considered responses to our many day-to-day compliance queries same day. This has allowed us to implement the actions we need to take for clients without delay to them or multiple followups to Integrity Compliance. Additionally, Integrity Compliance has created many practical tools that advisers can use to address frequently occurring questions such as when we can/can't use an ROA. These tools have saved us valuable time.

Under guidance from Rhett we have instigated compliance committee meetings with formal agendas and a calendar of critical compliance events to be completed each year. Having formal meetings along with phone access for quick compliance questions has enabled us to reduce the risk of omitting crucial compliance anniversaries. Furthermore, we now have a record of the diligence and policymaking we now apply to compliance and will be able to demonstrate due process if ever required by ASIC.