Compliance & File Reviews

Standard pre-lodgement SOA and ROA compliance reviews are completed within 24 hours under our strict 1–2 Day SLA. Urgent file checks can be expedited for same-day delivery upon request.

• ✓ 24-hour standard turnaround on pre-lodgement SOA and ROA audits.
• ✓ Itemized audit reports highlighting required adjustments, minor tweaks, and Best Interests Duty safe harbour alignment.
• ✓ Direct notes and comments provided inside your Xplan or Plutosoft software.

Our reviewers evaluate advice files against the Corporations Act 2001 (Cth) Section 961B (Best Interests Duty safe harbour steps), ASIC Regulatory Guides (RG 175, RG 244), FASEA Code of Ethics, and your specific AFSL licensee standards.

• ✓ Best Interests Duty (s961B) inquiry and client benefit verification.
• ✓ Fee disclosure accuracy and conflicted remuneration checking.
• ✓ Appropriate replacement product justification and risk profile alignment.

Our compliance reviewers connect directly via secure VDI/VPN into your existing software (Xplan, Plutosoft, Midwinter) with two-factor authentication. No files or client records are downloaded locally, ensuring 100% APP 8 sovereign data compliance.

• ✓ Direct login into your existing cloud instances with zero data migration.
• ✓ Strict bilateral confidentiality NDAs and ISO 27001 data protection hygiene.
• ✓ Audit notes logged directly into your compliance registers or CRM threads.

Yes. You can order Pay-As-You-Go pre-lodgement file reviews (starting from A$50/file), hire dedicated compliance reviewers, or engage structured multi-role Pods with built-in QA supervision.

• ✓ Pay-As-You-Go: Flexible ad-hoc reviews for overflow and seasonal compliance surges.
• ✓ Dedicated Full-Time QA: Dedicated compliance officer integrated into your practice.
• ✓ Structured Pods: Embedded QA supervision included across Pod 1, Pod 2, and Pod 3.

An engagement begins by defining the work scope, the client-controlled software environment, access requirements, turnaround expectations and review process. A paid pilot can be used before moving to recurring capacity.

• ✓ The scope is matched to the relevant MCR Associates service desk and its published commercial model.
• ✓ The client provides or approves the operating procedures, templates and escalation path for the work.
• ✓ The client retains control over the pace and scale of the engagement.

No. MCR Associates is designed to work in the client’s existing approved software, cloud environment or virtual desktop workflow. The exact tools supported depend on the service being engaged.

• ✓ The client controls user access, permissions and multi-factor authentication.
• ✓ Work is completed within the client’s approved templates and operating process.
• ✓ The client retains ownership of its software licences, records and administrative settings.

MCR Associates’s operating model is based on client-controlled cloud software or virtual desktop access and a Zero Local Storage policy. Specific access controls are agreed with the client as part of onboarding.

• ✓ The client determines the access level required for the assigned work.
• ✓ MFA, restricted permissions and client-approved environments can be used where available.
• ✓ Confidentiality and data-handling requirements are established before operational work begins.

The client retains responsibility for final review, approvals and any regulated or client-facing decisions. MCR Associates provides operational preparation and support within the agreed scope.

• ✓ The relevant Australian licensed, registered or authorised client representative retains statutory responsibility where applicable.
• ✓ Review checkpoints and escalation paths are agreed for the client’s workflow.
• ✓ MCR Associates does not replace the client’s required principal, practitioner or decision-maker.

Yes. A defined pilot or tightly scoped initial workflow can be used to evaluate operational fit, communication, quality review and turnaround before a broader capacity arrangement is considered.

• ✓ The initial scope should identify the work type, required access and completion criteria.
• ✓ The appropriate service desk and commercial model are selected according to the work required.
• ✓ A successful pilot can be expanded only when the client is comfortable doing so.

MCR Associates operates as a B2B back-office support partner. Client-facing communication, regulated advice, decisions and relationship ownership remain with the client business unless a separate, approved scope explicitly provides otherwise.

• ✓ Work is performed according to the client’s operational boundaries and approved procedures.
• ✓ The client nominates the appropriate supervisor or escalation contact.
• ✓ Confidentiality and non-solicitation commitments can be addressed within engagement terms.