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.

How 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