Compliance & Governance
Nuvano provides audit trails of all client changes, records adviser override decisions with reasons, and maintains complete logs to support your regulatory requirements.
The Compliance Challenge
- Manual record-keeping is error-prone and time-consuming
- Difficulty proving what was known when decisions were made
- Overrides and changes not properly documented
- Regulatory requirements becoming more demanding
The Nuvano Solution
- Automatic audit trail of all client record changes
- Documented adviser overrides with mandatory reasons
- Complete record history maintained for regulatory requirements
- Timestamped disclosure acknowledgments
Designed to Support FMA Requirements
Audit Trails
Every change to client records is automatically tracked with full history
- Who made the change
- When the change was made
- What the previous value was
- What the new value is
Override Documentation
When advisers override system recommendations, the reason is captured and recorded
- Original recommendation recorded
- Mandatory reason required
- Adviser identity captured
- Timestamped permanently
Record Keeping Made Simple
Timestamped Records
Every action is recorded with precise timestamps for regulatory requirements
Client Acknowledgments
Track when clients view and acknowledge disclosures and documents
Long-term Storage
Records maintained securely for the duration required by regulations
Compliance Support, Not an Afterthought
Focus on your clients while Nuvano handles the record-keeping
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Document Search & Access
Real-time access to PDS, fund updates, and holdings. Advanced search with filters and automatic document syncing from official sources.
Disclosure Management
Centralised disclosure library. Upload documents, link to your website, adviser-level customisation, and client acknowledgment tracking.
Team & Collaboration
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Built-in AI Adviser Assistant
Coming soon - Intelligent assistance powered by AI