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  • Don’t leave your AML/CFT obligations to the last minute
    All reporting entities must meet their obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (hereafter referred to as the AML/CFT Act)...
    Meeting AML/CFT obligations is not a five minute task. There may be significant work that needs to be undertaken for all those involved – the level of work being...
  • 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...
  • 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...
  • ETITO Re-brands
    From September 2012 ETITO will be re-branded as The Skills Organisation.  This change is part of ETITO’s evolution, and better reflects its core activities and...
    If you are an adviser, you need to review your documentation and replace any reference to ETITO with “The Skills Organisation”. This will apply from September...
  • Management team
    Experience you can trust
    To be of the greatest help to our clients, we have assembled a team of highly qualified, highly dedicated people with skills that range from the specialist to the generalist...
    Each member of the team has a specialist skill they bring; be it in compliance management, marketing, IT and software training, or business development. Each member also...
  • Consulting assignments
    Experienced at all levels of financial service consulting
    Strategi is experienced at undertaking complex and varied consulting assignments both within and outside the financial advisory industry. Examples of some of the past...
  • Finology
    The word ‘finology’ is relatively new so is possibly unfamiliar to many financial advisers. It is much broader than behavioural finance and includes topics such...
    Behavioural finance Money personality Understanding risk profiles Issues associated with fear and greed Financial neuro-...
  • 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...
  • FMA KiwiSaver guidance note: A defining piece of guidance
    The recently released FMA guidance note on KiwiSaver has the potential to be a defining piece of guidance for QFEs, product suppliers and advisers.
    Although officially a consultation draft, Strategi believes it is unlikely to undergo a significant rewrite prior to final release. This document has been a long time...
  • FMA publishes its first report on inquiries, investigations, and enforcement
    The financial adviser regulation has now been in place for just over a year and the Financial Markets Authority (FMA) has recently released its first report...
    The FMA has spent considerable time over the last 12 months engaging with participants (including individual financial advisers) to ensure compliance with regulatory...
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