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 more

How and when are the rules changing?

The rules for advisers and firms are changing – find out how the changes will affect you.
Main elements of the new regime for financial advice

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
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 holistic... Read more

How 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
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 what they need to learn for the Certificate, but also about ethics, best practice and compliance processes, and ways to increase revenue... Read more

Find 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.
NZ 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
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 more

Business 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
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 more

What 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 audit

Strategi can be your independent risk assessment and programme auditor.
AML/CFT audit

AML/CFT manual

Get Strategi Institute’s comprehensive guidebook.
AML/CFT manual

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 more

Starting 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

Upcoming classroom courses

Residential Property Lending Strand: Mortgage Specialist Auckland 13 – 15 Dec 2017 Residential Property Lending Strand: Mortgage Specialist
Residential Property Lending Strand: Mortgage Specialist Auckland 15 – 17 Jan 2018 Residential Property Lending Strand: Mortgage Specialist
Financial Advice Strand: Legislative framework Auckland 23 Jan 2018 Financial Advice Strand: Legislative framework
Financial Advice Strand: Advice process Auckland 24 – 25 Jan 2018 Financial Advice Strand: Advice process
Investment Strand Auckland 1 – 2 Feb 2018 Investment Strand
Residential Property Lending Strand: Mortgage Specialist Auckland 12 – 14 Feb 2018 Residential Property Lending Strand: Mortgage Specialist
KiwiSaver Specialist Auckland 20 Feb 2018 KiwiSaver Specialist
Life and Health Insurance Strand Auckland 22 – 23 Feb 2018 Life and Health Insurance Strand
Residential Property Lending Strand: Mortgage Specialist Auckland 7 – 9 Mar 2018 Residential Property Lending Strand: Mortgage Specialist
Financial Advice Strand: Advice process Auckland 19 – 20 Mar 2018 Financial Advice Strand: Advice process

Featured items

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