OCG and DASH Technology Group launch new solution for advice oversight
Oceanic Consulting Group (OCG) and DASH Technology Group have teamed up to launch ‘File Review as a Service’, a new offering that strengthens advice oversight and compliance in the financial services sector.
The partnership between the two companies – both focus on specialist services to the financial services industry – responds to a growing need for efficient, reliable oversight of advice quality, offering licensees an independent, scalable approach to managing risk and supporting regulatory obligations.
Tailored to complement internal legal and compliance teams, the File Review as a Service (FRaaS) delivers targeted reviews of agreed-upon advice files, ensuring investment strategies, documentation, and client outcomes meet both regulatory requirements and internal standards.
Built with flexibility in mind, the FRaaS model supports a wide range of review needs, from one-off engagements to ongoing sample-based assessments such as adviser onboarding programs.
“Together with DASH Technology Group, we are excited to be delivering a solution which will help licensees and corporate authorised representatives to strengthen their retail advice oversight by augmenting their existing practices in a targeted, flexible and scalable way,” said Jay Stuart, Principal at OCG, an award-winning management consultancy firm.
Drawing on Oceanic Consulting Group’s experience in major remediation programs, Stuart said that FRaaS applies proven review methodologies to deliver high-impact results. These include independent assessments of advice quality and completeness, detailed reports with findings and recommendations, escalation pathways for serious compliance concerns, and alignment with ASIC’s expectations for advice frameworks.
The service is available from DASH’s Advice Marketplace within its advice software solution.
“It’s fantastic to be able to fill a gap in our App Store with this RegTech solution,” said Terri Ho, Head of Adviser Solutions at DASH Technology Group. “This will become even more important as the industry undergoes regulatory changes in the near future.”
Last week, Oceanic Consulting Group also signed a partnership with RecordPoint, a deal that boosts its data governance line of offerings.
