QFE Consult is usually a review of a specific sector within the QFE. The most common assignments relate to Strategi being engaged to:
- Work with the board of directors to implement appropriate QFE governance and monitoring functions.
- Assist the QFE to remedy issues identified by the FMA as part of an FMA monitoring visit.
- Proactively work with QFE management (as a result of the FMA issuing a guidance note on a specific topic) to review current processes and design and implement revised processes to meet the expectations outlined in the FMA guidance note.
- Review what is perceived to be the higher risk sectors of the QFE operation.
- Review the in-house compliance team and its processes, and conduct a sample check on staff/advisers to ensure that the in-house team are providing the required level of compliance.
The QFE Consult report is provided directly to the board and managing director. In a number of instances, Strategi will be engaged to provide additional training to the in-house compliance team.
Contact us to discuss your requirements or for more information.