Paraplanning Compliance in Australia: How Outsourcing Keeps You Compliant

For financial advisers in Australia, compliance isn’t optional — it’s the foundation of trust and sustainability. With regulations constantly evolving, the pressure to ensure every Statement of Advice (SOA) and Record of Advice (ROA) meets ASIC standards can be overwhelming. That’s why many firms are turning to outsourced paraplanning services as a smarter way to manage paraplanning compliance in Australia.

Why Compliance Matters More Than Ever

ASIC continues to raise expectations around advice documentation, disclosure, and best-interest duty. Falling short doesn’t just risk fines — it can damage reputation and client trust. By partnering with specialist paraplanners, advisers can ensure every document is prepared with compliance front of mind. See ASIC’s Regulatory Guide 175 for the core obligations around giving personal advice.

Benefits of Outsourced Paraplanning for Compliance

Specialist Knowledge

Dedicated paraplanners live and breathe compliance. Their experience across multiple licensees and advice models means they understand common pitfalls — and how to avoid them.

Consistency Across Documents

Outsourced teams follow proven templates and workflows, giving your practice consistent, compliant SOAs and ROAs that align with ASIC guidelines every time.

Reducing Business Risk with Paraplanning Compliance in Australia

Compliance breaches often come down to small details being missed. With an outsourced review process, errors are minimised before documents ever reach your clients — reducing operational and regulatory risk.

Adaptability to Regulatory Changes

When rules change, outsourced paraplanners are already across the updates. Your advice documents remain current without you needing to constantly retrain your internal team.

Bringing It Together

Compliance doesn’t need to feel like a constant burden. By outsourcing paraplanning, advisers can stay focused on clients while having confidence that every document meets regulatory requirements. Ready to strengthen compliance and reduce risk? Talk to the team at One Degree Paraplanning today.