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  • Strategi releases Key Financial Data for 2013/14
    ‘Key Financial Data 2013’ is a four-page aide memoire enabling financial advisers, lawyers and accountants to have at their finger tips, a crib sheet that...
    This can be distributed free to advisers and staff within a business or for a small fee, it can be rebranded to the business and permission provided for dissemination to...
  • AML/CFT Compliance Officer – a role not to be taken lightly
    AML/CFT Compliance Officer is a new role that will come into effect from 30 June 2013. It is not a matter of simply assigning an employee, or oneself, to this role to...
    A number of tasks, outlined below, need to be undertaken before the designated person can assume this role:
  • Simplifying the Disclosure Statement Process
    A quick count at the beginning of the month indicated that between the Strategi compliance reviews and the Strategi Institute Standard Set C assessments, plus case study...
    Our analysis indicates  a sizeable number of AFAs are unnecessarily complicating their Disclosure Statements and turning what in theory should be a straightforward...
  • Press Release: Strategi Institute provides solution for ANZIIF students
    ANZIIF students and members will be well looked after according to David Greenslade, Managing Director of Strategi Institute.  He commented that a recent article about...
    Strategi Institute has been in discussions with ANZIIF for some time around this issue and has developed...
  • DRS number now required for registration
    From 28 March 2013, an individual or entity applying to register as a Financial Service Provider (FSP) will be required to submit their Dispute Resolution Scheme membership...

    Where an individual or...
  • The vexatious issue of conflicts of interest
    A conflict of interest is where someone is compromised when their personal interests or obligations conflict with the responsibilities of their job or position. It means that...
    The Government website www.business.govt.nz has an excellent guide relating to conflicts of interest and states:

    ...
  • FMA committed to enforcement action
    The FMA enforcement policy published in 2011 clearly outlines the areas of greatest interest at that time.  It relects the FMA's steady move towards using its full...
    The 'FMA's Compliance Focus for 2013' provides further update and...
  • Make 2013 your defining year
    Change, challenges and hard choices
    Regardless of whether a product supplier, QFE manager or adviser, an AFA or RFA or someone who supports advisers, we are all facing change, challenges and choices in what we...
    This white paper looks at what the key drivers are leading to changes, challenges and hard choices in the financial advisory industry in 2013. It provides anticipated...
  • Do all financial advisers have AML/CFT obligations?
    All financial advisers have some level of AML/CFT obligation and must take that obligation seriously. The degree of obligation and how it is exercised is determined by the...
    Therefore, it is recommended that every financial adviser have at least a basic understanding of the Anti Money Laundering and Countering Financing of Terrorism Act 2009 (...
  • Meeting your AML/CFT audit obligations
    Legal obligations As a reporting entity under the AML/CFT Act, you MUST undertake an audit of your risk assessment and your AML/CFT...
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