Governance & Compliance

At First Adviser, we believe that responsible financial distribution is built on more than business volumes.

It requires strong governance, transparent customer practices, data protection, fraud prevention, partner oversight and continuous compliance discipline.

Our Governance & Compliance framework has been established to support the interests of our customers, Banks, NBFCs and other regulated lending partners.

Our framework is aligned, where applicable, with the regulatory principles governing outsourcing, customer protection, KYC, digital lending, data confidentiality, fraud risk management and fair conduct, together with the specific policies and contractual requirements of each lending partner.

Our governance framework

1. 01DSA Code of Conduct & Compliance PolicyResponsible sourcing, ethical conduct and employee accountability.
2. 02Multiple Funding & Fraud Prevention PolicyControls designed to identify and prevent multiple funding, fraud and policy circumvention.
3. 03Customer Data Privacy & ConfidentialityProtection, controlled access and responsible handling of customer information.
4. 04Customer Grievance RedressalTransparent escalation and customer-support mechanisms.
5. 05Responsible Digital Lending FrameworkResponsible practices for technology-enabled sourcing and digital lending arrangements.
6. 06Partner Risk & Vendor GovernanceDue diligence, monitoring and governance of employees, associates and external partners.
7. 07Whistleblower / Ethics PolicyA protected mechanism for reporting suspected misconduct, fraud or compliance violations.