Full FAP licence application review
Strategi Compliance can assist in any of these situations.
- Not sure if your full FAP licence application is ready to be submitted?
- Need help with a particular part of your application?
- Received questions from the Financial Markets Authority (FMA) on your FAP full licence application and need help to answer them?
- Already have a FAP full licence and now want to make changes to how you operate?
Contact the Strategi Compliance team to discuss your needs by calling 09 414 1300 or click the 'enquire now' button below.
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FAP operations manual review
The business operations manual is a key document that sets out how a FAP intends to meet FAP licence obligations. There is never a ‘one size fits all’ situation when it comes to licensing.
Larger FAPs will want detailed standalone policy documents which include processes, controls, and checklists. Smaller FAPs and one adviser operations usually combine all the policies, processes, and controls into one comprehensive manual that becomes its day-to-day operating bible, while also being the key supporting document for the FAP licence application.
Strategi can review your operations manual to ensure it includes all the essential information you need for your full FAP licence.
Talk to the Strategi Compliance team to get started by calling 09 414 1300 or click the 'enquire now' button below.
Enquire now
Advice process and document reviews
We can review your advice documents to ensure you are meeting the FAP licence and good conduct obligations.
The right advice process and documents can transform your business when integrated correctly, and with the right technology. Strategi Compliance has been developing advice processes and documents for over 20 years with its documents currently used by thousands of New Zealand advisers.
We have everything from our purely paper-based ‘Gen 1’ documents, right up to our new ‘Gen 3’ digital suite of advice documents - which are shorter, quicker to produce and, far easier for clients to understand. We can build bespoke documents.
We also offer advice process workshops where we work through what is possible and what you want to achieve. Or you can tell us what your specific needs are and we can build from there.
Talk to the Strategi Compliance team to get started by calling 09 414 1300 or click the 'enquire now' button below.
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FAP licence remediation work
Businesses evolve and sometimes FAP 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.
Remediation work often requires expert assistance and the team at Strategi Compliance has the experience for this. We can project manage the complete workstream or just do the technical parts you need help with.
Talk to the Strategi Compliance team to discuss your needs by calling 09 414 1300 or click the 'enquire now' button below.
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Disclosure review
The new disclosure regulations provide significant flexibility in how to provide clients with disclosure information.
We can review your website and advice process, to ensure you are providing clients with the appropriate four stages of disclosure at the right time.
Contact the Strategi Compliance team to discuss your needs by calling 09 414 1300 or click the 'enquire now' button below.
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Conduct reviews
Good conduct is now a major consideration for all FAPs, and Strategi Group has developed a number of solutions to help. We offer:
- conduct training modules within Radar (our online education platform). This enables you to upskill staff each year;
- bespoke or template conduct policies;
- detailed conduct reviews, culminating in a conduct assessment report; and
- a good conduct assessment tool – enabling internal self-assessment of how well the business is demonstrating good conduct.
Need a conduct review? Contact the Strategi Compliance team now by calling 09 414 1300 or click the 'enquire now' button below.
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Governance framework reviews
Strategi can review your governance, risk and compliance framework and provide feedback to ensure you are able to govern a FAP licensed entity effectively.
Contact the Strategi Compliance team now to discuss your needs by calling 09 414 1300 or click the 'enquire now' button below.
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Combined reviews
If you have additional licence obligations, e.g. DIMS, we can do a combined review of your licence obligations. By combining the reviews, there is less interruption to your business, making it more time and cost-effective.
We can also complete the AML/CFT audit at the same time.
Contact the Strategi Compliance team now.
Contact the Strategi Compliance team now to discuss your requirements by calling 09 414 1300 or click the 'enquire now' button below.
Enquire now