Keeping Your Financial
Interests Protected
Compliance and legal
Our unwavering commitment to transparency, regulation and responsible business practices underpins everything we do.
Upholding the Highest Standards of Financial Governance
At AAA Private Wealth Advisors, we take our compliance responsibilities seriously. From regulatory adherence to ethical conduct, our legal and compliance framework is designed to safeguard our clients, staff, and stakeholders. Whether you're investing as an individual, adviser or corporate entity, you can rely on us to act with integrity, professionalism, and accountability at all times.
In this section, you’ll find comprehensive details of the legal policies, disclosures and regulatory obligations that govern how we operate. These measures aren’t just formalities—they’re the foundation of the trust we build with our clients, every day.
Our Compliance Approach
A Culture of Risk Awareness and Accountability
As a licensed and regulated Australian wealth management firm, we are bound by financial services laws, privacy regulations, and ethical codes of conduct. But compliance at AAA Private Wealth Advisors goes far beyond legal requirements—we embed it into our everyday decision-making and strategic planning.
Our internal compliance team works closely with all departments to ensure policies are clearly understood, consistently followed, and regularly reviewed. From anti-money laundering to data protection, we take a proactive stance in meeting—and exceeding—our obligations.
Key principles of our compliance framework:
- Alignment with ASIC, AUSTRAC and other regulatory standards
- Transparent investment practices and fair dealing
- Confidentiality and data security measures that protect client privacy
- Ongoing staff training to stay ahead of emerging risks and regulatory changes
- Thorough complaint management processes to resolve concerns efficiently
- Thorough complaint management processes to resolve concerns efficiently
Legal Documentation
Access the Policies That Govern Our Operations
To help you understand your rights and our responsibilities, we’ve made our key legal documents readily available. These include important terms of use, privacy statements, disclosure obligations, and policies outlining how we manage conflicts of interest and handle complaints.
You can find detailed information on each of the following pages:
- Portal Terms & Conditions – Guidelines for using our online services
- Disclaimer – Important notices regarding the use of our website and tools
- Privacy Policy – How we collect, store and use your personal information
- Cookie Policy – Our use of cookies and your choices for managing them
- Terms & Conditions – The terms that govern your relationship with us
- Complaints Procedure – How we address and resolve concerns or grievances
- Research Policy – How we maintain independence and objectivity in our research
- Accessibility – Our commitment to inclusive, barrier-free digital experiences
- Slavery & Trafficking Disclosure – Our ethical stance on human rights and supply chain responsibility
Each document is kept current with the latest regulatory guidance and is available to download or request in print upon enquiry.
Governance and Ethics
Responsible Business Conduct Is Part of Who We Are
Compliance isn't just a function—it's a reflection of our values. At AAA Private Wealth Advisors, our governance principles are built on transparency, ethical leadership, and respect for our clients, partners, and community.
Our board of directors oversees our compliance framework, supported by a dedicated governance committee that ensures risks are managed prudently and with accountability. We continuously review our internal systems, audit practices and reporting structures to make sure they meet the evolving standards of the industry.
Whether we’re managing your personal investments or supporting your business strategy, you can rest assured that our processes are built to uphold your trust and deliver peace of mind.
Need Help or
Have Questions?
We're Here to Help
If you have questions about any of our legal policies or compliance practices, please don’t hesitate to get in touch. Our team is available to explain any document, clarify any procedure, or assist with specific regulatory concerns. You can also request printed copies of our policies at any time.
Find us
AAA Private Wealth Advisors,
7/2 Mill Street,
Perth, Australia
© 2025 AAA Private Wealth Advisors PTY Ltd The information provided on this website is for general informational purposes only and does not constitute financial, legal, or taxation advice. While every effort is made to ensure the accuracy and timeliness of the content, AAA Private Wealth Advisors makes no representations or warranties, express or implied, regarding the completeness, reliability, or suitability of the information, products, services, or related materials contained on this website. Any reliance you place on such information is strictly at your own risk.
We strongly recommend that you seek independent professional advice tailored to your individual financial circumstances before making any investment or financial decisions. The content on this website may be subject to change without notice, and AAA Private Wealth Advisors accepts no liability for any loss or damage, including—without limitation—indirect or consequential loss, arising from the use of or reliance on the information provided.
The value of investments and any income derived from them can fluctuate, and investors may not recover the full amount initially invested. Past performance is not a reliable indicator of future results. All investments carry risk, and you should consider whether a particular investment is appropriate for your needs and financial situation.
AAA Private Wealth Advisors is a trading name of AAA Private Wealth Advisors PTY Ltd, which is incorporated in Australia and holds Australian Business Number (ABN) 19 121 081 810. We are authorised and regulated by the Australian Securities and Investments Commission (ASIC).
The information and services described on this website are intended for Australian residents only and may not comply with laws or regulations in jurisdictions outside of Australia. Users accessing this site from outside Australia do so at their own risk and are responsible for compliance with local laws.
If you have a concern or complaint about our services, we encourage you to contact us directly so that we can seek to resolve the matter promptly. If we are unable to resolve your complaint to your satisfaction, you may have the right to refer the matter to the Australian Financial Complaints Authority (AFCA). For more information, visit www.afca.org.au.
We acknowledge and respect the Traditional Owners of the lands across Australia and recognise their continuing connection to Country, community, and culture. We pay our respects to Elders past and present, and we are committed to fostering inclusivity, understanding, and recognition of First Nations peoples in everything we do.