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  • The journey to uniqueness
    Technology and consumer expectations are creating both challenges and opportunities for financial advisers of all persuasions. Technology has removed the tyranny of distance...
    Most advisers are localised generalists - dealing with different client types, demographics and occupations from one meeting to the next. In many instances, the only real...
  • 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:

    ...
  • Strategi Publications
    Tools to make your business more profitable and compliant
    Strategi  and Strategi Institute have developed a range of publications to assist advisers and QFEs to increase profitability, improve efficiency and meet industry best...
    Best Practice manual Strategi has published a new Best Practice manual and templates, this new manual was developed to meet the...
  • Trends in Internet Useage
    Financial planning in the internet age was a hot topic at the recent USA Financial Planning Association (FPA) Retreat.  While it is likely technology may never fully...
    Nowhere is this more clearly exemplified than in patterns of internet usage.  UMR’s recently released research demonstrates just how important the internet...
  • Finology - Building Trust
    Trust can be built from afar
    In the past, trust was built via face-to-face meetings with clients or prospects. However, in today’s busy world with low cost and easy access to technology, things...
    MoneyQuotient in the USA recently cited a survey of 2000 financial planning clients conducted in late 2011 and reported that clients want planners who are able to navigate...
  • Webinar: How a crazy idea took the world by storm ......
    Strategi Institute in association with Leading Minds Academy® is pleased to present the Online Event Series this month featuring Darryl Lovegrove: "How Two Young...
    A step-by-step exposé of EXACTLY how to succeed in the face of odds that could stop the best in the business. It’s inspiring, it’s impressive and its one GREAT...
  • 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...
  • What is an AML/CFT risk assessment?
    Undertaking an AML/CFT risk assessment means assessing the risk of money laundering/financing terrorism (ML/FT), you as a reporting entity may reasonably expect to face...

    Legal obligations relating to risk assessments

    Any risk assessment must:
  • Who is a reporting entity for AML/CFT purposes?
    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (hereafter referred to as the AML/CFT Act) comes fully into force on 30 June 2013.
    The AML/CFT Act contains a set of compliance obligations for “reporting entities”. Penalties for non-compliance with these obligations are massive and can be...
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