Keeping FSLAA, CCCFA and AML Records Without a Spreadsheet

Compliance has a habit of living somewhere separate from the actual client work — a spreadsheet of ID checks here, a folder of signed disclosures there, updated only when someone remembers. NexaOne CRM keeps the compliance record attached to the same client page your team already works from every day.

Compliance checks live on the client record, not a separate file

Open any Contact and there's a Compliance checks section right there alongside their details — a place to record ID verification and privacy consent, if your organisation needs to keep that on file. It's part of the same page you'd already open to check a phone number or add a note, not a second system to remember to update.

What's built in for financial advice compliance

• Financial Advice Compliance — record keeping, disclosure management, adviser file retention, and audit history for Financial Advice Providers
• CCCFA 2021 — responsible lending workflows with affordability assessments, document management, and customer records
• AML/CFT — Customer Due Diligence (CDD), document verification, risk assessments, and audit trails in one place
• Privacy Act 2020 — role-based access, consent management, audit logs, and secure document storage designed to support privacy obligations

Every change is tracked automatically

Every change made in the system — adding, editing, or deleting — is automatically recorded behind the scenes, including who made the change and when. If a client ever asks what happened to their file, or an audit needs a history, that trail already exists without anyone having kept a manual log.

NexaOne CRM provides tools designed to support compliance workflows. Customers remain responsible for meeting their own legal and regulatory obligations.