Consulting

Ongoing compliance support

Strategi’s Virtual Compliance Officer (VCO) is ideal for financial advice provider (FAP) businesses requiring pro-active compliance risk management, but who don’t have their own compliance officer/department.

Give yourself peace of mind and expert advice.

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Remediation

Businesses evolve and sometimes your FMCA licences need to be amended or improved due to FMA feedback, findings from compliance reviews and audits, regulatory changes, new regulator guidance notes, or material changes that the business wants to make to reflect a new business initiative. 

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Other compliance services

Strategi have a range of services to support the financial services sector, including:

• AML/CFT audits
• Website reviews
• Specific training and ongoing support of licensee compliance managers
• Development and maintenance of a training programme for licensee directors, managers, and staff
• An annual board report on the compliance status of the business, plus if necessary a remediation plan, a report on what additional risks need to be considered and how these can be mitigated, and the changes that have occurred to the regulatory environment in which the business operates
• Development and annual review of the business risk management framework
• Development and annual review of the governance framework
• Provision of classroom and electronic refresher training of licence obligations to ensure directors, managers and staff have the knowledge competency and skill to perform their roles
• External reviews relating to how a business is meeting the suitability requirements and ensuring that client’s interests are placed first
• Development of client facing documents such as Disclosure Statements
• Provision of policy document templates such as the operations manual, health and safety manual

Contact the Strategi Compliance team to discuss your requirements.

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