Compliance and governance

Nothing left to chance.

Every compliance obligation, from investor verification to ATO reporting, met automatically and backed by accurate, audit-ready data.

Compliance, built in, not bolted on.

Identity checks, tax reporting and regulatory obligations run inside your registry, not around it. One system, every requirement covered.

Verify every investor once, and only once.

Collect AML/CTF information and documents through your online application form, and verify a contact once even when they hold multiple positions across your register. Identity checks can be run through GreenID, or manually when you prefer, with ASIC, ABN/ACN and super fund lookups built in at no cost. Politically Exposed Person (PEP) and sanctions checks can be run in bulk, saving time over individual review.

  • AML/CTF information and document collection via application form
  • Identity verification through GreenID, or manual review
  • PEP and Sanctions Watchlist screening through GreenID
  • Free ASIC, ABN/ACN and Super Fund lookups

Every investor's status, in one place.

Identity, wholesale client, source of wealth and PEP and watchlist screening statuses are managed centrally and kept current in the AML/CTF verification centre. 

  • View summaries and details of investor compliance across all categories
  • Filter investors for out-of-date identity documents or uncompliant statuses
  • Customise settings for investors’ wholesale client eligibility
  • Export AML/CTF data to use in reports 

Tax declarations, captured without the follow-up.

Investor tax declarations are captured through the application form and the investor centre, ready when you need them. Select a reporting period and generate FATCA and CRS reports automatically, formatted for direct upload to the ATO Business Portal.

  • Tax declaration capture through application form and investor centre
  • Automated FATCA and CRS report generation
  • Directly uploadable to the ATO Business Portal

Every ASIC and ATO obligation, met on time.

Quarterly Tax File Number reports and Annual Investment Income Reports generate with a click, built to the latest specifications and ready for direct lodgement with the ATO. Weekly notifications flag anything that needs to be reported to ASIC, so obligations are met before they become risks.

  • QTFN and AIIR reports, generated and lodgement-ready
  • Compliant with current ATO specifications
  • Weekly ASIC reporting notifications

Investor app

Your investors.
Your brand.

Put your investors’ holdings directly in their hands. A branded, bank-grade app that keeps your investors informed, engaged and connected.

Securely delivered. Completely yours.

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Every part of the investor lifecycle, connected in one system.

Registry Direct manages more than 220,000 investors across 1,500+ funds and companies.

ISO Certified

Certified to ISO 27001, the international standard for information security management.

GS007 Audited

Independently assessed under GS007, the Australian standard for organisations providing investment management services.

Bank-grade Security

The same security standards trusted by financial institutions, protecting your data and your investors' at every layer.

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Build your business on Registry Direct.

We're here to guide you every step of the way. No obligation, no pressure.

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