Streamlining Compliance: AI in Financial Advice

This chapter examines the challenges and complexities of complaint handling in the financial sector, emphasizing the role of regulatory technology (regtech) and AI. It highlights the importance of client feedback and a holistic approach to compliance tech, addressing the risks of fragmented systems. Additionally, the discussion touches on the future enhancements AI could bring to streamlining compliance processes and improving overall efficiency for Australian Financial Services Licensees (AFSLs).

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