File Review
Assuring Quality Through Expert File Review
Our File Review Value
File Review as a Service (FRaS) is a dedicated review service designed to provide businesses confidence that the advice provided to their clients is compliant and appropriate.
FRaS is designed to complement and enhance the work of internal legal and compliance teams by delivering targeted reviews of agreed-upon advice files. This approach ensures investment strategies, portfolios and documentation align with licensee policy, industry practice, legislation, and regulatory guidance.
FRaS aligns with client objectives and budgets – delivering maximum value without unnecessary overhead.
Leveraging deep experience in major remediation programs and licensee reviews, FRaS distils this expertise into a highly effective sample-based review, providing real-time insights and proactive risk management.
Key Outcomes of FRaS
Independent high-level assessment of advice quality, clarity, and completeness, identifying deficiencies, exceptions, or non-compliance with regulations and internal policies.
Comprehensive review report with findings and actionable recommendations.
In-depth case and controls assessment, allowing further investigation if serious compliance concerns arise.
Regulatory alignment, ensuring firms meet ASIC’s expectations for a robust advice framework.
Flexible engagement, from one-off review to ongoing sample-based assessments (e.g. onboarding new advisors).
About OCG
At OCG, we understand that maintaining the highest compliance standards in financial advice is critical. With our extensive remediation expertise and a team of 60+ highly experienced consultants, we provide an independent, structured review of advice files to give businesses confidence that their advisory services operate at the highest compliance and professional standards.
OCG leads the way in partnering with major institutions to analyse policies, procedures, files, and operations, ensuring the best outcomes for stakeholders and customers.
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.
Our team is the most experienced in Australia, delivering this work efficiently and at scale.
Find out how we can help…
Our Leaders
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James Dickson
FOUNDER & MANAGING DIRECTOR
With over two decades of experience in the industry, James has established OCG as a trusted partner to financial institutions, delivering tailored solutions in risk management, compliance, and operational excellence.
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Jay Stuart
PRINCIPAL
Jay Stuart is a seasoned financial services and technology leader with over 35 years of global experience across banking, trading platforms, and consulting. As Principal at OCG, he specialises in strategic advisory, regulatory response, and advice compliance - bringing deep expertise in remediation, derivatives, and market infrastructure.
