Call compliance for finance and investment teams.
Financial and investment sales calls are where anti-hawking rules, best-interests obligations and misleading-conduct expectations all land at once. ASIC has been explicit that a compliant file note doesn't override an incompliant call. We check the conversation itself, on every call, so returns claims, risk warnings and fee disclosure are all evidenced rather than assumed.
- Anti-hawking under ASIC RG 38 (consent to receive the call)
- “Guaranteed returns” and “you can’t lose” language
- Risk and capital-loss warnings
- Fee, interest and cost disclosure
- Best-interests and suitability obligations
- High-pressure closing tactics
ASIC is the primary regulator, enforcing anti-hawking under RG 38, best-interests duty, appropriate advice standards, and Design and Distribution Obligations across licensed financial products. The ACCC overlays misleading and deceptive conduct under Australian Consumer Law, and AUSTRAC sits alongside for AML/CTF obligations where relevant. When a returns claim goes wrong on a phone call, it typically triggers all of them.
General information about the regulatory environment, not legal advice.
The free checker comes pre-loaded with finance-specific flag phrases: “guaranteed returns”, “you can’t lose”, “100% safe”. Add your own and run it on a real transcript.
Check every call. Without a compliance team.
We did exactly this across our own education group. In one call we'll show you how to do it in yours, on every call, consistently, with no added headcount.