Govern the capability
Review what each skill reads, produces, proposes or updates before it reaches a firm.
FOR AFSLs + LICENSEES
Compliance control. At scale.
Adial helps licensees control approved templates and capabilities, monitor advice production and review, track exceptions and remediation, and see evidence across the network - without forcing every practice into one rigid operating model.
From policy on paper to controls inside the workflow.
AFSL oversight becomes more useful when approved behaviour, human accountability and audit evidence are designed into the agent skill itself.
Control who can do what
Separate roles, firms, data sources, sensitive actions and human approval responsibilities.
Solidify approved templates
Connect SOA and ROA templates, mandatory evidence, drafting standards, tests and review rules to repeatable workflows.
See what needs judgement
Route missing evidence, contradictions and sensitive decisions to the right person.
Review and audit the trail
See sources, document versions, file-review findings, approvals, remediation and actions instead of relying on opaque output.
Scale without flattening firms
Maintain licensee-level controls while allowing configuration around each practice.
The AFSL control layer
From advice production to network assurance.
Use the same underlying evidence to strengthen daily execution, file review and management oversight.
Approved SOA structures
Make the correct templates, mandatory sections, evidence expectations and human approval points available to each adviser workflow.
Consistent review workflows
Organise samples, findings, severity, responsible owners, reviewer evidence and completion status.
Traceable evidence
Preserve sources, versions, checks, exceptions, approvals and remediation for authorised inspection.
Visible remediation
Assign findings, due dates and escalation paths and track work until evidence-backed closure.
Adviser and practice patterns
Monitor recurring data, documentation, review and process themes with drill-down to the underlying authorised record.
Decision-ready reporting
Bring together review queues, exceptions, complaints or incidents, remediation and control performance for leadership oversight.
Adial can support compliance and supervision; it does not guarantee compliance or replace the legal responsibilities of the AFSL, its representatives or appropriately qualified reviewers.
Bulk remediation
One approved remediation instruction. Applied across 20, 100 or more authorised files.
When a review identifies the same correction across many files, ADIAL can coordinate the work as a controlled batch instead of forcing teams to reopen and correct every file manually.
- Define the approved correctionSet the affected population, required change, source evidence and boundaries.
- Run the batch with controlsApply the same approved instruction across multiple authorised files while isolating exceptions.
- Return a complete evidence packShow completed corrections, unresolved cases, reviewer decisions and closure evidence file by file.
MESSAGE TO ADIAL
Apply the approved remediation instruction to these 100 authorised files. Correct the specified wording, preserve every source version, stop any file with missing evidence and return the completed set with an exception register for qualified review.
Illustrative workflow. Scope, permissions, testing and qualified approval are agreed before deployment.Micro evidence inside macro supervision.
Network-level insight is only credible when it can be traced back to what happened in the individual file, workflow, approval and remediation action.
See the evidence behind the exception.
For an individual client file or practice workflow, Adial can organise source evidence, identify defined gaps or contradictions, preserve versions, route human review and record the approval or remediation trail.
See patterns without losing context.
Across firms, the AFSL can monitor recurring evidence gaps, overdue reviews, complaint or incident themes, control performance, remediation progress, adoption and emerging operational risk - with drill-down to the authorised micro record.
Scale the control plane by the whole connected team.
There is no credible single “average AFSL” because licensees range from single-practice firms to large networks. Scope the deployment by authorised advisers, connected support roles and central compliance and operations users.
Approved control
Define the policy, template, evidence and test.
Practice execution
Advisers and teams complete the governed workflow.
Automated checks
Surface evidence gaps and defined-rule exceptions.
Human review
Qualified people decide findings and remediation.
AFSL view
Monitor trends, escalations and the audit trail.
Adial supports supervision and evidence management. It does not guarantee compliance or replace licensee, adviser or authorised-person responsibilities.
Build consistency before the next audit finds the gap.
Start with one advice template, review workflow or recurring supervision problem and define the evidence needed to control it.
Request an AFSL control proposal