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  • 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:
  • Safeguard your business
    An industry leader in best practice systems
    Today there isn’t a single financial service business that doesn’t understand the need for active (not passive) risk management to be seamlessly integrated into...
    The cost of failure is too high not to have regular, systematic compliance reviews with the processes for speedy resolution of any compliance breakdowns identified.

    ...
  • Assisting QFEs to meet their AML/CFT obligations
    Most QFEs will be deemed to be ‘reporting entities’ under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (hereafter referred to as the...
    All QFEs will have plenty to do to meet their AML/CFT obligations and the larger ones who have experienced, internal compliance teams will have this job well in hand....
  • Australian Financial Advisers can give advice to New Zealand residents
    The requirements for Australian Financial advisers who wish to operate in New Zealand is contained in the Financial Advisers (Australian Qualified Advisers) Exemption Notice...
    Advisers will be exempted from Standard Set B and the exemption only applies if the adviser has met the applicable training requirements specified below either as an...
  • The sleeping giant
    Awaken the power of your website
    Your website should be your most powerful marketing tool. The number of people who use the internet to help them make financial decisions is growing daily. Google Analytics...
    But it’s not as simple as just having a website that people can visit. Today’s search engines look for content. The top 10 websites chosen by Google will offer depth and...
  • Back to work compliance checklist
    This time of year is a good time to spend some time ensuring you are meeting your professional responsibilities.
    Strategi has developed a checklist suitable for RFAs and AFAs. Spending some time now to review the questions and taking action where needed, could save you and your...
  • 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...
  • 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...
  • Client complaints are more than just a compliance issue
    Client complaints can create a better business
    Historically, a financial adviser may have regarded something as a client complaint only once it was in writing and the client was clearly angry and threatening to take some...
    All registered financial advisers (RFAs and AFAs) plus Qualifying Financial Entities (QFEs) must belong to a Dispute Resolution Service (DRS). These organisations are...
  • Your client's expectations and attitudes may have changed. Find out what the latest research is saying about what clients are thinking.
    Client expectations of financial advisers have changed
    We are now 70 months out from the generally acknowledged date the Global Financial Crisis (GFC) shuddered into reality and the cheap credit/low inflation capital model adored...
    There is now some clear empirical data plus a significant volume of anecdotal information that is providing insights to how the consumer is now thinking about their money...
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