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Training, compliance, licensing, AML/CFT and business development solutions for financial advisers, QFEs and networks
Licensing, registration and authorisation for you and your business
Licensing your business
Licensing, registration and authorisation for you and your business
Whether you need help getting licence-ready, applying for a licence, or ensuring you and your business meet your licence obligations, Strategi is here to help.
Decide what you most want help with, or let us look after the entire licensing and ongoing compliance process for you. From helping advisers through the licensing (authorisation) process, to developing the required policies, procedures, controls, Strategi has applying for a Financial Markets Conduct Act licence covered.
Read moreHow and when are the rules changing?
The rules for advisers and firms are changing – find out how the changes will affect you.
The start of the new financial advice regime
Who needs to be licensed, authorised or registered?
What are the current rules? Are you and your company compliant?
Do I need to be licensed, registered or authorised?
How do I register as a financial adviser?
Online registration as an RFA and application fees.
How to register as a financial adviser
How do I apply for authorisation?
Assistance for advisers applying for authorised financial adviser (AFA) status.
How to apply for authorisation
FMCA licensing assistance
Help with obtaining your DIMS, MIS, Derivatives Issuer and other licences.
FMCA licensing assistance
Establishing a QFE
Strategi can help your business become a qualifying financial entity.
Establishing a qualifying financial entity
Templates, publications and resources
Licensing templates, manuals, guidance notes and other resources.
Licensing publications and resources
Frequently asked questions
Got a licensing, registration or authorisation problem but don’t know what to ask?
Frequently asked questions about licensing, registration and authorisation
See more licensing
Licensing, registration and authorisation for you and your business
Licensing, registration and authorisation for you and your business
Talk to an expert
Contact Compliance
Ethics, compliance and professional practice
Get compliant
Ethics, compliance and professional practice
Strategi offers a seamless range of independent compliance services, risk identification training and advanced knowledge programmes to help businesses understand their risks better and to develop interlocking strategies to minimise their exposure to compliance risk.
While compliance is a necessary cost of doing business, it can also be a way of finding better ways of doing things, improving the quality of advice you give and the service you provide, and empowering your people to be conscious of the value they can bring to your business.
Strategi’s...
Read moreHow to become compliant
Are you and your business operating within the current requirements?
How to become compliant
Stay compliant with Strategi Pilot
The complete ongoing compliance monitoring regime to suit your business.
Strategi Pilot: your complete ongoing compliance solution
Our compliance services
Already know what you are looking for? Find it here.
Our compliance services
Strategi Navigator
Stay informed, keep your templates, manuals and handbooks updated and get discounted pricing.
Strategi Navigator
Templates, publications and resources
Ethics, compliance and professional practice manuals, templates, guidance notes and other resources.
Ethics, compliance and best practice templates, publications and resources
Frequently asked questions
Got an ethics, compliance or professional practice problem but don’t know what to ask?
Frequently asked questions about ethics, compliance and professional practice
See more compliance
Ethics, compliance and professional practice
Ethics, compliance and professional practice
Talk to an expert
Contact Compliance
Training solutions from Strategi Institute
Training
Training solutions from Strategi Institute
If you are in the financial services industry, or want to be, then Strategi Institute can provide you with the training you need. Whether you are a new entrant to the industry, in a support role such as a PA or paraplanner, or an experienced adviser, Strategi Institute offers training that will enhance your competence and help take you to the next level professionally.
Our courses are structured in such a way that advisers learn not only about unit standards, but also about ethics, best practice and compliance processes, and ways to increase revenue within their business....
Read moreFind or enrol in a course
Search our extensive range of online and classroom courses, workshops and modules and find out how to enrol.
Find or enrol in a course
NZ Certificate Level 5
The benchmark qualification for authorisation as a financial adviser. Training in compulsory unit standards and relevant elective strands.
New Zealand Certificate in Financial Services Level 5
Continuing professional development
Training options to meet the CPD requirements for advisers and a way to upskill for RFAs and QFEs.
Continuing professional development
Courses you can do in the classroom
Get hands-on tuition from the industry’s most experienced trainers.
Courses you can do in the classroom
Online learning with Radar
The new world-class CPD command centre for advisers, QFEs and networks.
Radar: the CPD command centre
Corporate education solutions
Get your network, advisers and support staff up to speed.
Corporate education programmes – a total education solution
Templates, publications and resources
Manuals, guidance notes and other resources that accompany your training.
Training publications and resources
Frequently asked questions
Got a training problem but don’t know what to ask?
Frequently asked questions about training
See more training
Training solutions from Strategi Institute
Training solutions from Strategi Institute
Talk to an expert
Contact Training
Business solutions for advisers, QFEs and networks
Business productivity + profitability
Business solutions for advisers, QFEs and networks
Keen to grow the revenue, profitability and value of your financial advice business? The team at Strategi is expert in working with advisers and networks to grow businesses and deliver increased profit. We have experience in all aspects of business management, growth, mergers and acquisitions, shareholder value and preparing a business for sale.
Read moreBusiness in a Box
An integrated solution for financial advice businesses – all your business tools in one package.
Business in a Box: an integrated solution for financial advice businesses
Improve your productivity and profitability
Want your business to make more money, or preparing it for sale?
Proven methods to increase your business profit
Client relationship strategies
Building trust and long term mutual relationships.
Client relationship strategies
Brand marketing and promotion
Promote and enhance your business brand.
Brand marketing and promotion
Business valuations
Accurate, detailed valuation of your financial advisory business.
Financial adviser business valuations
Business sales, acquisitions and mergers
Buying or selling all or some of a business? We can help.
Business sales, mergers or acquisitions
Establishing a QFE
Strategi can help your business become a qualifying financial entity.
Establishing a qualifying financial entity
Corporate governance and board assistance
David Greenslade can work with your board.
Corporate governance and board assistance
Speaking engagements
Conferences, roadshows and client seminars.
Conference, roadshow and client seminar speaking
Consulting services
A range of expertise on tap for advisers, QFEs and networks.
Consulting services
Templates, publications and resources
Templates, guidance notes, manuals and other resources to help improve your business.
Business templates, publications and resources
See more business
Business solutions for advisers, QFEs and networks
Business solutions for advisers, QFEs and networks
Talk to an expert
Contact Consulting
Anti Money Laundering / Countering Financing of Terrorism (AML/CFT)
AML/CFT
Anti Money Laundering / Countering Financing of Terrorism (AML/CFT)
Most financial advisers have some level of AML/CFT obligation and, together, Strategi and Strategi Institute can help ensure those obligations are met.
Our AML/CFT solutions include AML/CFT training for advisers, staff, networks, head groups and QFES, assistance developing a risk assessment and AML/CFT Programme, and undertaking the AML/CFT audit.
Read moreWhat are my obligations?
Most financial advisers have some obligation and must take that seriously.
What are my AML/CFT obligations?
How do I meet my obligations?
Your complete guide to AML/CFT requirements and solutions.
The complete guide to meeting your AML/CFT obligations
Risk assessment
How to assess and document your AML/CFT risk rating.
What is an AML/CFT risk assessment?
Your AML/CFT programme
Develop the policies, procedures and controls to address your risk.
How to develop an AML/CFT programme
AML/CFT training solutions
A range of courses, modules and packages for QFEs, advisers and support staff.
Your AML/CFT training solution
Templates, publications and resources
AML/CFT manuals and guidance notes.
AML/CFT templates, publications and resources
Frequently asked questions
Got a problem with AML/CFT but don’t know what to ask?
Frequently asked questions about AML/CFT
Your career in the financial services industry
Your career
Your career in the financial services industry
Thinking about a career in the financial services industry, but not sure where to start or what questions to ask? Or maybe you have been in the industry a couple of years and are not sure what to do next and how to progress?
Whatever your situation, Strategi can give you the advice you need.
Read moreStarting out in the industry?
Find out what you will do, what you can earn and the skills you will need.
Starting out in the industry?
Qualifying to be a financial adviser
Find out what you need to study and the authorisation you may need.
Qualifying to be a financial adviser
Career options
Common roles in the industry and possible career paths.
Career options in financial services
Re-entering the workforce?
We can help you get up to speed with the changes in the financial services industry.
Re-entering the financial adviser workforce?
Frequently asked questions
Need to know something about careers in the industry but don’t know what to ask?
Frequently asked questions about careers in the financial services industry
See more careers
Your career in the financial services industry
Your career in the financial services industry
Talk to an expert
Contact Training
Latest updates
Compliance is everyone’s business
Compliance is everyone’s business
Compliance is everyone’s business
Financial Services Legislation Amendment Bill: The quick read
Financial Services Legislation Amendment Bill: The quick read
Financial Services Legislation Amendment Bill: The quick read
Financial Stability Report May 2017
Financial Stability Report May 2017
Financial Stability Report May 2017
AML/CFT Sector Risk Assessment 2017
AML/CFT Sector Risk Assessment 2017
AML/CFT Sector Risk Assessment 2017
Transforming the Client Experience
Transforming the Client Experience
Transforming the Client Experience
An adviser’s guide to cyber security
An adviser’s guide to cyber security
An adviser’s guide to cyber security
Putting a value on your value: Quantifying Vanguard Adviser’s Alpha
Putting a value on your value: Quantifying Vanguard Adviser’s Alpha
Putting a value on your value: Quantifying Vanguard Adviser’s Alpha
Upcoming classroom courses
Residential Property Lending Strand: Mortgage Specialist
Auckland
28 – 30 Aug 2017
Residential Property Lending Strand: Mortgage Specialist
Financial Advice Strand: Advice process
Financial Advice Strand: Advice process
Auckland
7 – 8 Sep 2017
Financial Advice Strand: Advice process
Residential Property Lending Strand: Mortgage Specialist
Auckland
11 – 13 Sep 2017
Residential Property Lending Strand: Mortgage Specialist
Financial Advice Strand: Legislative framework
Financial Advice Strand: Legislative framework
Auckland
4 Oct 2017
Financial Advice Strand: Legislative framework
Financial Advice Strand: Advice process
Financial Advice Strand: Advice process
Auckland
5 – 6 Oct 2017
Financial Advice Strand: Advice process
Residential Property Lending Strand: Mortgage Specialist
Auckland
11 – 13 Oct 2017
Residential Property Lending Strand: Mortgage Specialist
Regulatory deadlines
Adviser annual confirmation: yearly on date of original registration
Adviser annual confirmation
Adviser annual confirmation
AML/CFT annual report
Understanding the AML/CFT annual report requirements
31 Aug 2017
Understanding the AML/CFT annual report requirements
Crowdfunding and peer-to-peer lending provider annual return
FMCA licensing assistance
31 Aug 2017
FMCA licensing assistance
DIMS limit break report
Guidance Note: Reporting limit breaks and related party transactions
13 Oct 2017
Guidance Note: Reporting limit breaks and related party transactions
National Certificate students must complete Std Sets A, D and/or E
FAQs: Understanding your options with the closing of NCFS level 5 to new registration
15 Dec 2017
FAQs: Understanding your options with the closing of NCFS level 5 to new registration
DIMS limit break report
Guidance Note: Reporting limit breaks and related party transactions
16 Jan 2018
Guidance Note: Reporting limit breaks and related party transactions
National Certificate enrolments close for Std Sets B and C
FAQs: Understanding your options with the closing of NCFS level 5 to new registration
28 Feb 2018
FAQs: Understanding your options with the closing of NCFS level 5 to new registration
DIMS limit break report
Guidance Note: Reporting limit breaks and related party transactions
13 Apr 2018
Guidance Note: Reporting limit breaks and related party transactions
National Certificate students must complete authorisation
FAQs: Understanding your options with the closing of NCFS level 5 to new registration
31 Dec 2018
FAQs: Understanding your options with the closing of NCFS level 5 to new registration
Featured items
Business in a Box
All your business solutions in one box.
Business in a Box: an integrated solution for financial advice businesses
Strategi Pilot
Your complete ongoing compliance solution.
Strategi Pilot: your complete ongoing compliance solution
About us
20 years of good advice
In 1996 Strategi was created to address the changing regulatory and professional needs of people who give financial advice. Twenty years on, giving good advice is more important than ever before…
20 years on, giving good advice is more important than ever before