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Our Services2022-02-21T18:44:02+00:00

License Consulting

We have comprehensive experience with regulatory license applications and consulting. Our advisers help you with a detailed review of your existing capabilities, including: governance, risk and compliance management as these relate to the specific FAP regulatory requirements contained in the FMA’s application guidance.

We assist you in making enhancements to policies, procedures and controls, where necessary, to ensure a successful application.

“We were provided with great insights and feedback that helped our stakeholders make informed decisions”

We’ve Re-imagined FAP Compliance Consulting Services

Licensing Services

We provide trusted guidance on FAP licensing under the new regulatory regime.

Compliance as a Service

We help you deliver constant improvement and sustainable compliance in line with market and regulatory expectations.

Compliance Audit

We provide regular reviews and audits to assess your compliance and compliance capabilities. We identify areas for improvement and appropriate intervention strategies

Analytics Insights

We provide generic and bespoke compliance risk metrics that assist you in: benchmarking your compliance capabilities and performance against those of your peers; proactively focusing on areas for improvement for the benefit of your clients and business.

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FAP compliance Expert
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FAP Compliance Expert

Your compliance, is our business

Let’s make compliance straightforward.

Policy Preparation and Evaluation

We conduct a thorough gap analysis for FAP risk assessment to identify compliance bottlenecks. We are your trusted partners for offering detailed analysis and insight. We help in formulating policies that meet compliance criteria.

Specialist Guidance on FAP and FSLAA Requirements

Buckle up your business in tandem with the latest FMA regulatory changes. We help you adhere to FSLAA code of conduct.

“Our service proposition helps your business avoid the trap of viewing legal or regulatory compliance as the end-game, instead of a step toward the more important goal of continually enhancing and safeguarding your Social Licence to Operate.”

Richard Kirkland

Compliance Consulting Service Expert

Richard Kirkland

“All businesses need an ongoing discipline of capability gap assessments and risk analysis. Develop a compliance framework and strategy that explicitly incorporates this discipline, at all levels and roles, whether financial adviser or a nominated representative. ”

Uddhav Kirtikar

Compliance policy development and consulting service advisor

Compliance and Risk Management Resources

Let’s make compliance straightforward.

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