Industry Solutions

KeyDocs in Finance & Insurance

Industry Context

The finance and insurance sectors in Australia are governed by strict regulatory and compliance frameworks, including oversight from ASIC,APRA, and AUSTRAC, as well as adherence to the Corporations Act, Privacy Act, and various industry codes of conduct.

Financial services providers, brokers, and insurers must manage large volumes of documentation to demonstrate compliance, maintain client trust, and meet reporting obligations across:

  • Policies and procedures
  • Client agreements, statements of advice, and disclosure documents
  • Product disclosure statements (PDS) and insurance certificates
  • Compliance training, licensing, and professional development records
  • Internal audit reports, governance documentation, and quality assurance evidence

Many organisations still rely on fragmented systems like spreadsheets, email chains, or disconnected document folders to manage their compliance and operational documentation.

This often leads to:

  • Outdated or missing compliance documents during audits or reviews
  • Inconsistent policies and templates across teams or branches
  • Time-consuming document searches and version confusion
  • Increased risk of non-compliance with ASIC, APRA, or ISO standards

How does KeyDocs Support Finance and Insurance?

KeyDocs provides a secure, structured platform to centralise, control, and track all critical documentation, helping financial services and insurance organisations maintain compliance, reduce risk, and improve operational efficiency.

Controlled Document Management

  • Manage policies, procedures, and compliance documentation through structured approval workflows
  • Automatically record version history and archive superseded documents
  • Ensure advisers, underwriters, and compliance teams always access the latest approved content

Compliance and Audit Readiness

  • Link documentation directly to relevant legislation and frameworks
  • Instantly generate reports on document ownership, review status, and approval history
  • Always be audit-ready for regulator reviews, ISO certification, or internal governance checks

Review Schedules & Accountability

  • Automate review reminders for policies, procedures, and client-facing materials
  • Maintain clear audit trails for updates, approvals, and document changes
  • Ensure compliance officers, advisers, and management remain aligned and accountable

Multi-Site and Subcontractor Oversight

  • Apply consistent compliance and operational standards across all branches or business units
  • Control access levels to maintain confidentiality while ensuring visibility for key stakeholders
  • Ensure all teams, from compliance and claims to sales and support, are working from the same approved documentation

Move away from reactive compliance and toward proactive, structured documentation. Reduce risk, improve governance, and keep teams safe and informed

Book a Demo with Us!