SMART’s Principal (Brett Walker LL.B.) has been engaged in the financial services industry continuously since 1991 when he joined the just established Australian Securities Commission in its NSW Regional Office in Sydney as an Investigator. Whilst at the ASC he was also involved in licensing and adviser surveillance throughout the State of NSW.
In 1994 he was seconded to the advice industry’s then peak body (the FPA) and delivered licensing and compliance expertise across the country to FPA’s 10,000+ members.
In 1998 he joined Bridges Personal Investment Services as a fledgling financial adviser then worked for a small suburban independent – an invaluable experience for him while he also consulted to the industry as a compliance expert.
In 2000 he commenced SMART Compliance as a full time licensing, compliance and risk management service provider to the Financial Services Industry.
SMART now manages the day-to-day compliance for dozens of small, independent AFSLs and each year helps many more advisers achieve their goal of becoming independent advisers.
Technology plays an important part in the way SMART looks after its clients. In fact, risk management technology developed by SMART over the past 10 years is now being marketed globally.