About
Richard Pollock
Managing Director, Maple Logic Pty Ltd
Richard Pollock is a governance, risk and compliance professional with 20+ years’ experience across financial services. He has led AFSL compliance, professional standards and adviser supervision in licensee networks and advice practices, with a focus on practical frameworks that improve advice quality and client outcomes.
Richard established Maple Logic to help organisations operationalise Best Interest Duty and the Code of Ethics, aligning people, processes and technology with clear, compliant and client-first practices.
Services
Tailored engagements for Australian financial services licensees, advice practices and advisers
AFSL Governance
Licensee governance uplift, risk frameworks, policy libraries, compliance calendars and Responsible Manager support, aligned to ASIC expectations.
Professional Standards
Adviser supervision, file review methodologies, remediation and coaching. Operationalising Best Interest Duty, informed consent and conflicts management.
Advice Quality & Processes
Advice workflow design, documentation standards, templating and automation (e.g. XPLAN) to scale consistent, high-quality advice.
Risk & Incident Management
Risk identification and control mapping; breach assessment and remediation; complaints (IDR/EDR) and AFCA liaison.
Training & Culture
Practical training for advisers and support teams to embed ethics, professional conduct and continuous improvement.
Regulatory Engagement
Support with regulatory reporting, audits and communications, fostering proactive, transparent relationships with regulators.
Contact
Let’s discuss a tailored approach for your business
Email: admin@maplelogic.com.au
Phone: 0405 691 017