Sample API response

Sample audit result response

Use this as a guide for the type of structured data you can obtain via the standard Developer API for each audited file.

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Be sure to check the official api-docs.tiqk.com API documentation site for the most up-to-date Error and Response formats for each endpoint.

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 [ { "requestId": "a317e12c-1234-45c9-af98-371a8765c172", "hasError": false, "data": { "userId": 0, "file": { "id": 12345, "publishedDate": "20170710", "name": "Full_SOA_Document.docx" }, "publisher": { "name": "JOHN SMITH", "type": "financialAdvisers", "number": 123456 }, "materialType": { "id": 1, "code": "SOA", "displayDesc": "Statement of Advice" }, "duration": 3038, "overallStatus": "non-compliant", "totalCompliant": 1, "totalNonCompliant": 2, "totalUnknown": 3, "totalAdvice": 0, "riskRating": 4.33, "auditCategories": [ { "auditCategory": "Know your customer", "totalCompliant": 0, "totalNonCompliant": 1, "totalUnknown": 0, "totalAdvice": 6 }, { "auditCategory": "Fee disclosure", "totalCompliant": 0, "totalNonCompliant": 1, "totalUnknown": 0, "totalAdvice": 1 }, { "auditCategory": "Disclosure", "totalCompliant": 2, "totalNonCompliant": 3, "totalUnknown": 0, "totalAdvice": 4 }, { "auditCategory": "Statutory disclosure", "totalCompliant": 8, "totalNonCompliant": 1, "totalUnknown": 0, "totalAdvice": 3 }, { "auditCategory": "Plan execution", "totalCompliant": 0, "totalNonCompliant": 0, "totalUnknown": 0, "totalAdvice": 2 }, { "auditCategory": "Basis of advice", "totalCompliant": 1, "totalNonCompliant": 1, "totalUnknown": 0, "totalAdvice": 2 } ], "compliantResults": [ { "auditDescription": "The document must be dated (the date must be the date on which the document was prepared or its preparation was completed).", "commentary": "", "pageRefs": [], "obligations": [ { "clause": "942C(5)", "clauseUrl": "http://www.austlii.edu.au/cgi-bin/sinodisp/au/legis/cth/consol_act.20161205/ca2001172/s942c.html", "effectiveDate": "5 April 2017", "jurisdiction": "Australia", "status": "active", "title": "Corporations Act 2001", "version": "Compilation No. 77" }, { "clause": "175.88(b)", "clauseUrl": "http://download.asic.gov.au/media/4191992/rg175-published-22-march-2017.pdf", "effectiveDate": "20 March 2017", "jurisdiction": "Australia", "status": "active", "title": "RG 175 - Licensing: Financial product advisers - Conduct and disclosure", "version": "March 2017" } ] } ], "nonCompliantResults": [ { "auditDescription": "The Statement of Advice given by a licensee's representative must include the name of that representative on the title page", "commentary": "We could not locate the Representative's name near the front of the the SOA. You should review the document to ensure this information is included.", "pageRefs": [], "obligations": [ { "clause": "947C(2)(c)", "clauseUrl": "http://www.austlii.edu.au/cgi-bin/sinodisp/au/legis/cth/consol_act.20161205/ca2001172/s942c.html", "effectiveDate": "5 April 2017", "jurisdiction": "Australia", "status": "active", "title": "Corporations Act 2001", "version": "Compilation No. 77" }, { "clause": "175.173(b)", "clauseUrl": "http://download.asic.gov.au/media/4543983/rg175-published-14-november-2017.pdf", "effectiveDate": "14 November 2017", "jurisdiction": "Australia", "status": "active", "title": "RG 175 - Licensing: Financial product advisers - Conduct and disclosure", "version": "November 2017" } ] }, { "auditDescription": "An SoA must include information on interests and associations that could actually or potentially influence the provision of advice.", "commentary": "We did not find any references on interests and associations in the SoA. You should review the SoA to ensure it complies with the licensee's requirements.", "pageRefs": [], "obligations": [ { "clause": "947B(2)(e) and 947C(2)(f)", "clauseUrl": "http://www.austlii.edu.au/cgi-bin/sinodisp/au/legis/cth/consol_act.20161205/ca2001172/s947b.html", "effectiveDate": "5 April 2017", "jurisdiction": "Australia", "status": "active", "title": "Corporations Act 2001", "version": "Compilation No. 77" }, { "clause": "175.173(h)", "clauseUrl": "http://download.asic.gov.au/media/4543983/rg175-published-14-november-2017.pdf", "effectiveDate": "14 November 2017", "jurisdiction": "Australia", "status": "active", "title": "RG 175 - Licensing: Financial product advisers - Conduct and disclosure", "version": "November 2017" } ] } ], "adviceResults": [], "unknownResults": [], "bid": { "highRisk": [ { "header": "The following sections of the SoA appear insufficient in proving that the basis of your advice meets the clients' best interests:", "descriptions": [ "Your clients goals and objectives", "Your client's risk profile", "Alternative strategies to your recommendations", "Product costs", "Relevant details of your client's personal and financial circumstances", "Relevant details of your client's cash flow", "Relevant details of your clients existing assets and liabilities", "Your client's proposed asset allocation", "The subject matter (Or scope) of your advice", "Product recommendations" ] } ], "mediumRisk": [], "lowerRisk": [] }, "aiResult": { "clientNames": { "adviceFor": "Mary and John Smith", "client1Name": "Mary Smith", "client2Name": "John Smith" } }, "totalBid": 5, "createdAt": "2019-07-29T02:05:13.830Z", "publishedDate": "2017-06-14", "comments": [], "bidComments": [] } } ]