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  • Best practice and compliance
    7 benefits of conducting a compliance review sooner rather than later
    Have you been putting off having your first compliance review and rationalising this with comments such as:
  • Advisers are actively embracing technology
    The Strategi team works across the entire financial services industry including QFEs, adviser networks and non-aligned insurance, investment and mortgage advisers. What has...
    However, the implementation of this technology is not always in a well co-ordinated fashion, nor does it always lead to a significant increase in productivity or...
  • Adviser information
    Provision of limited advice
    Strategi has issued a guidance note relating to limited advice. Limited advice is provided when advice is given without collecting all relevant data relating to the client....
    Strategi's Limited Advice guidance note explains the issue, provides examples of limited advice, offers tips on how to deal with limited advice and provides a...
  • Adviser information
    Is your Adviser Business Statement up-to-date?
    One of the areas frequently commented upon by the FMA, during its recent monitoring visits, was the provision of a discretionary management service and how this is described...
    How can Strategi help? To assist you to meet the above requirement, Strategi has updated its ABS template by including additional wording in the...
  • Facing the new reality
    What is a financial advice business really worth?
    Is the industry on the cusp of a major change in the value of small financial advisory businesses?
    Strategi has produced a sixth paper in the ‘Facing the New Reality’ series which presents a scary hypothesis – one that many advisers may struggle to...
  • Strategi can guide you through a QFE application
    Establishing a QFE in New Zealand is proving popular
    An ABS is a prerequisite for a company intending to be a QFE (Qualifying Financial Entity) in providing financial services in New Zealand.
    Strategi Limited (Strategi) reports that an increasing number of offshore companies are considering establishing a presence in New Zealand, then using that to raise funds...
  • Financial Adviser Professional Indemnity Insurance
    PI insurer recognises compliance
    A new Professional Indemnity policy for financial advisers has been launched.
    This policy provides significant enhancements if the adviser holds a Strategi Best Practice Compliance Certificate.

    Download the flyer below to read more, and find...
  • Adviser update
    New legislation and regulation to be aware of
    From 1 October 2011, the content of the Standard Set B: Capstone Knowledge of the Code exam is changing. This change is as a result of recently enacted legislation...
    Download our guide

    The good news is that if you have already passed the exam, then you do not need to re-sit. However, you DO NEED to...
  • Guidance for advisers
    Contracting an AFA to advise on an RFA's KiwiSaver clients
    Strategi believes it is not Best Practice for an RFA to contract an external AFA to advise on KiwiSaver or any other Category 1 products. 
    It is also inappropriate to work on the premise that KiwiSaver or other Category 1 product sales or discussions can be entirely handled via ‘class advice’....
  • Advice to advisers
    Best Practice grows business value: Regard it as an investment not an expense
    We all begrudge paying money when we don’t see the need to do so and have not paid it in the past. I am frequently reminded of this fact when an adviser asks to speak...
    The adviser often becomes cost conscious when it is suggested to them that they should engage Strategi to conduct regular best practice compliance reviews on their...
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