Reputable
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.
“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
“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
