Independent File Review Trusted Across The Advice Lifecycle
OCG’s File Review as a Service (FRaaS) provides structured, independent review of advice files to support your compliance, commercial, and risk management goals. Whether you're preparing for a transaction, responding to complaints, or seeking consistent adviser oversight, FRaaS offers scalable, real-time insight aligned to licensee standards, ASIC expectations, and your business objectives.
Independent insight | Scalable delivery | Regulatory confidence
OCG’s File Review as a Service (FRaaS) is purpose-built to support licensees across critical points of their operations - from pre-transaction due diligence to complaint resolution and ongoing adviser oversight. Whether you're navigating M&A, meeting RG271 requirements, or strengthening advice quality, FRaaS provides independent, risk-aligned insights that help you make confident, compliant decisions.
M&A Transactions
Validate the quality of advice before you buy or sell.
We support buyers, sellers, and licensees with due diligence file reviews to identify advice risks that could affect valuation, post-deal remediation exposure, or integration.
‣ Advice suitability, documentation quality, and red flags
‣ Risk-weighted findings to inform deal structure
‣ Ideal for wealth roll-ups, adviser onboarding, and business exits
Complaint Response & RG271 Reviews
Respond confidently to complaints and meet RG271 obligations.
When complaints arise, especially those tied to higher-risk advisers or systemic issues, our independent reviews help you demonstrate fair, consistent, and timely resolution. We support internal teams and AFCA readiness with clear, regulator-aligned assessments.
‣ Supports RG271 complaint resolution timeframes
‣ Flags advice concerns, conduct issues, and emerging risks
‣ Enables faster resolution with independent, defensible findings
Ongoing Advisor Oversight
Deliver consistent QA and uplift across your network.
Our sample-based review model helps licensees monitor adviser performance, maintain compliance standards, and prepare for evolving regulatory settings (like QAR). Reviews are tailored to your advice models, risk appetite, and cadence.
‣ Monthly, quarterly, or ad hoc review cycles
‣ Tailored scoring frameworks (including SOA-free advice)
‣ Supports AFSL obligations and proactive remediation
Why OCG
With experience reviewing over 1 million advice and fee files, and a team of 60+ specialists, OCG delivers trusted, outcome-focused review solutions. We’ve led some of the industry’s most complex remediation and QA programs, bringing insight, scale, and commercial clarity to every review.
We've distilled our expertise from large-scale remediation projects and licensee reviews into OCG’s File Review as a Service - scalable, cost-effective, and an essential complement to in-house solutions.
Find out how we can help…
Our Leaders
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Danielle Radford
HEAD OF SERVICE DELIVERY
Danielle Radford serves as the Head of Service Delivery at Oceanic Consulting Group (OCG), where she leads large-scale operational teams to ensure excellence, innovation, and efficiency in client services.
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Joseph Saheli
SENIOR MANAGER
Joseph leads complex advice reviews aligned to regulatory and licensee standards and supports the delivery of large-scale client engagements with a focus on quality and consistency.
