Insurance broker compliance

This hub explains the obligations brokers carry in Australia and New Zealand, and the habits and tools that keep you audit-ready rather than audit-anxious. Start with your market below, then read across the topics that matter most to your brokerage.

Start with your market

• ASIC compliance guide (Australia). Best interests duty, record-keeping and what ASIC looks for when it asks.
• FMA compliance guide (New Zealand). Conduct obligations under the financial advice regime, and how to evidence them.

Key compliance topics

• Informed consent. Capturing, timestamping and evidencing client consent on every policy change.
• Record-keeping and audit trails. Why immutable file notes and a complete audit trail are the heart of compliance.
• Remuneration disclosure (Australia). The disclosure obligations behind a wave of recent breaches.

How JAVLN helps you stay compliant

• Officetech compliance and audit. Immutable records, guided filing and seven-year retention, audit-ready by design.
• Platform compliance. Preventative checks built into the workflow: FSG issuance, bind-blocking and the transaction audit trail.
• Security at JAVLN. SOC 2 Type 2, MFA and data protection across both products.
• Free compliance scorecard. A short self-assessment of your brokerage's compliance posture.