Licensing
Strategi Compliance is highly experienced at FMCA licence applications having been involved in licensing since 2013 for Discretionary Investment Management Services (DIMS), Derivatives Issuers (DI's), Managed Investment Services (MIS) and Financial Advice Providers (FAPs). Over this time, we have developed the resources to react quickly and handle volume. Whether you have one or many advisers, the Strategi Compliance team can help you achieve your licensing goals.
Licensing Reviews
To support your FMCA licence application, Strategi provides a range of licensing reviews including:
- Disclosure reviews
- FAP operations manual review
- Advice process and document reviews
- Full FAP licence application review
- Conduct reviews
- Governance framework reviews
- Combined review
Contact the Strategi Compliance team to discuss your needs by calling 09 414 1300 or click the ‘enquire now’ button below.
Completing full FAP licence applications
For many businesses, documenting policies and processes and drafting detailed licence applications does not come naturally. If this is you, then Strategi Compliance can help. We work with you to draft your licence application and supporting documents – saving you both time and money. We can build the application framework and convert the way you operate into the right words.
This can be done on a fixed price basis or on an hourly rate. Price will vary depending upon business size and complexity.
Contact the Strategi Compliance team to discuss your needs by calling 09 414 1300 or click the ‘contact us’ button below.
FAP licence templates
Need only one or two policy documents to complete your FAP licence application? Or perhaps you need a complete suite of documents to save you time and money? Strategi Compliance has a solution for both scenarios with a complete range of policy and process documents available, along with checklists for operating a FAP.
We can also help you figure out what it is you need, by completing a gap analysis. We can then provide the necessary templates, or better still a customised solution, to fill that gap.
We have documents covering every aspect of a FAP and the licensing process, including the following:
- Board and management fit and proper requirements
- Governance
- Risk and compliance
- Training
- Complaints handling
- HR
- Adviser recruitment, training, and supervision
- IT and cybersecurity, including business continuity
- Code of Conduct, whistleblower and conflict of interest
- Financial resources and professional indemnity
- Advice process and advice documents
- Vulnerable clients and privacy policy
Contact the Strategi Compliance team now.
Contact the Strategi Compliance team to discuss your needs by calling 09 414 1300 or click the ‘contact us’ button below.
FAP licence kits
The Strategi Compliance FAP licensing kit is your bundled solution to meeting all your FAP licensing requirements. There are three different FAP licensing kit solutions that vary depending on your firm’s size and requirements.
For more information, download our FAP licensing kit brochure here or contact the Strategi Compliance team by phone on 09 414 1300.