Licensing kits
Strategi 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).
FAP licensing 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.
Basic full licence FAP kit
For a smaller adviser firm, that is looking for a “do it yourself” option. The basic kit includes:
– FAP Operations Manual template
– Policies, processes and controls for FAPs
– FAP licence application template
– Guidance notes
From $3,000.00 + GST
Bespoke full licence FAP kit
This bespoke solution involves reviewing of your documents or a fully customised solution tailored for larger more complex financial advice providers.
Designed for adviser firms, that will customise templates and may want advice along the way and a final check before submission. The bespoke licensing kit includes:
– Individual policy documents
– Customised licence application
– Consultancy
– Dedicated licensing team adviser
Disclosure kit
The disclosure kit will ensure you are providing clients with the appropriate four stages of disclosure at the right time.
From $399.00 + GST
Standard full licence FAP kit
Designed for mid-sized adviser firms, that will customise templates and may want advice along the way. The standard FAP licence kit includes:
– FAP Operations Manual template
– Policies, processes and controls for FAPs
– FAP licence application template
– Guidance notes
From $5,000.00 + GST
Need help finding the right solution?
Contact the Strategi Compliance team to discuss your needs