Candidate guidelines

Entry criteria

Applicants must be 16 years of age or older.

Applicants must be a New Zealand citizen or permanent resident; however eligible visa holders may be entitled to enrol subject to all legal requirements being met.

All tuition is conducted in English. Non-native English speakers will require IELTS 5.5 with no band score lower than 5, or equivalent. Evidence of this may be required.

Prospective students may be required to participate in an interview prior to enrolment. Enrolment is subject to approval from the Academic Manager.

On enrolment, Completion Subsidy applicants will be required to submit a certified copy of the bio data page of their NZ passport, driver’s licence or full birth certificate. If you do not hold one of the above documents, please provide a certified copy of your overseas passport or overseas birth certificate (with translation if not in English).

Enrolment period

All Strand enrolments are for a period of six (6) months from the start of the course. For classroom students, this is defined as the first day of training. For online/distance students, the date the material is provided to you is deemed to be the first day of training.

Certificate enrolments for the purposes of the Completion Subsidy, are for a period of eight (8) months from the start of the first Strand course. Training under this arrangement will not commence unless a completed and signed Skills Organisation training agreement has been received.

The learning contract

To make the classroom learning environment a safe, secure place to work in we ask you to agree that it is a place where:

  • We co-operate with each other
  • We respect the views and beliefs of others
  • We can learn by our mistakes
  • It is OK to change your mind
  • Cultural difference is valued
  • Discussions are confidential so we may share without fear.

Please note aggressive or intimidating behaviour during training will not be tolerated. Smoking and the consumption of alcohol and/or drugs are not permitted during training. Please switch your cell phone to silent mode and refrain from use during the training sessions. You are required to attend each day of the course unless prior arrangements have been agreed.

Health and safety procedures

Your trainer will make you aware of emergency evacuation procedures and any potential hazards in the training environment. Should you see anything hazardous in the training environment, bring it to the attention of the trainer immediately.

Special needs

If you have any special needs which impact on your ability to undertake training and assessment, please provide details on your registration form. Your facilitator will then make arrangements with you as to how these will be accommodated.

Learning support

Strategi Institute staff are available for guidance and support, including assignment-related questions, during normal office hours and, if appropriate, outside of those hours by prior arrangement. Please discuss with your trainer/marker any course-related problems. If you need guidance and support outside the expertise of Strategi, please ask Strategi Institute for details of other sources of support.

Community support and guidance

Assessment, extensions and reassessment

If you elect to undertake the assessment for the course you will be given full details as part of the training. You must submit all work for assessment in English. All assessments must be submitted and passed before the end of your 6-month enrolment period. Please note, assignment feedback and/or results will be provided within 14 days from the date you submit.

Your assessment may be returned to you for rework and all rework must be completed and submitted within two weeks of having received feedback. You may submit your rework for assessment twice within the 6-month enrolment period. If you do not meet the assessment criteria after three attempts, further training will be required and this will incur a cost. Your assignments must be completed and passed by the end of your enrolment period.

If you take longer than 6 months (the period of your enrolment) to resubmit your work a reassessment fee, calculated on a cost recovery basis, may apply. To enable participants to achieve all unit standard outcomes, trainers may on occasion, and on a case-by-case basis extend the six-month completion period. In this case a revised completion date will be notified to relevant participants in writing.

Any extension beyond the 6-month period is at Strategi Institute’s discretion. If your assessments have not been submitted and passed before the end of your 6-month enrolment period, unless you have an agreement with Strategi Institute, your enrolment will lapse. If you wish to complete the course you will be required to re-open your enrolment and pay the required fee (calculated on a cost recovery basis). You cannot re-open your enrolment more than 12 months after the start date of the course you enrolled for. The maximum re-enrolment period is 3 months. Should you wish to re-open your enrolment past the 12-month period, you will be required to re-enrol into the course and pay the full course fees.

The following additional requirements must be met by students qualifying for the Completion Subsidy: The first two assessments must be submitted and achieved within the first three (3) months of enrolment. The Certificate MUST be completed and passed between seven (7) and eight (8) months from the day of enrolment i.e. you cannot finish in months one (1) to six (6) or after month eight (8). Assessments cannot be submitted after the 8 month period. If you take longer than eight (8) months (the period of your enrolment) to complete your training, the Completion Subsidy will not be awarded. You may complete your training under this enrolment provided you do so within twelve (12) months from the start date.

Note: All work submitted for assessment must be your own work. Cheating (including collusion and plagiarism) is regarded as a serious misdemeanour. Strategi Institute will fully investigate any allegation of cheating and has a number of actions it can take. Please refer to Strategi Institute’s Misconduct in Assessment policy outlined below.

Misconduct in assessment

Strategi Institute does not tolerate cheating, or helping others to cheat.

Cheating in any form:

  • Undermines the cheating student’s learning outcome;
  • Devalues the learning achievements of other students; and 
  • Undermines the reputation and integrity of Strategi Institute’s teaching and assessment processes.

Cheating can take many forms including:

  • Copying another student’s work
  • Plagiarism
  • Deliberately misleading through making up information
  • Impersonating another person.

Strategi Institute is committed to providing its students with top quality, courses and assisting them to achieve successful outcomes. It encourages and supports students to develop their own thought processes and to demonstrate understanding of their learning in a way that will assist them with their everyday work under the new regulatory regime.

Strategi Institute expects all candidates to complete their assignments with integrity and honesty. Any student struggling to complete their course work is encouraged to seek help from:

  • Their course mentor, facilitator and/or marker; or
  • A senior work colleague; or
  • Strategi Institute’s Academic Manager.

Any allegation, or incident of cheating, will be fully investigated and may result in disciplinary action being taken. Such action may include any or all of:

  • Removal from the course;
  • Requirement to re-submit coursework;
  • Reporting of the incident to the Financial Markets Authority (FMA);
  • Reporting of the incident to the student’s employer (if applicable);
  • Reporting of the incident to New Zealand Qualifications Authority;
  • Any other action deemed appropriate;
  • No action.

Assessment appeals

If you want to appeal against an assessment result, tell your assessor/trainer within 14 days of receipt of the assessed work. If you and the assessor/trainer cannot reach agreement, Strategi Institute management will consider the appeal. If your complaint is not satisfactorily resolved, your complaint may be referred to an external moderator whose decision will be final. You may also contact the New Zealand Qualifications Authority for assistance in resolving your complaint.

Recognition of prior learning or current competence and existing credit

We acknowledge and support the right of learners to gain credit for existing skills and knowledge through the process of recognition of prior learning. If you let us know that you wish to have existing skills and knowledge recognised, a process of assessment of this prior learning will commence. Credit will be allocated to you if you meet the assessment requirements. An assessment fee will apply.

For existing credits, if you can show us that your Record of Learning shows achievement of a unit standard/s that is a component in a course, you will be given credit and will be exempted the unit or units you have achieved.

CPD hour/credits are only transferable, if they have been achieved via formal study leading to an exam. CPD hours for conferences, roadshows, informal courses and seminars are not transferable.


If you have a complaint about the Strategi Institute or one of our staff members:

  • In the first case, raise it with the Strategi Institute trainer/staff member most closely concerned.
  • If it is not resolved, complete and submit your complaint in writing for consideration by the Strategi Institute management team.
  • A response will be provided by Strategi Institute within 21 working days of the complaint being submitted.

Fees, withdrawals and refunds

If you are paying the course fee yourself, please ensure that your payment is made immediately following your receipt of our GST invoice. With courses funded by employers, Strategi Institute will have negotiated an all-up fee, which includes GST, materials and other costs. 

Unless otherwise negotiated by a network/corporate or employer, payment of all fees in full is required prior to the commencement of your course. If unpaid fees are forwarded to a debt collection agency any debt collection costs will be added to the amount that you owe and are liable for.

If you are paying personally for your study, in accordance with the Student Fee Protection Rules 2013, your course fees are protected through the relevant withdrawal/refund period. These fees are subject to a fee protection arrangement through the Public Trust, and the level of fee protected, reduces with the duration of the enrolment. For more information please contact Strategi Institute.

Strategi Institute will consider requests for a partial refund of fees on a case-by-case basis but generally, if you withdraw from a course more than 28 days before the course start date, you will be eligible for a 100% refund. If you withdraw between 14 and 28 days before the course start date, you will be eligible for a 75% refund. If you withdraw from a course between 14 and 7 days before the course start date, you will be eligible for a 50% refund. If you withdraw from a course less than 7 days before the start date, you will forfeit your fees. You may substitute another person on the course if you wish, with no penalty, as long as that person meets the entry criteria. No refund is available to you if your employer pays the fees.

Please note:

  • All requests for refunds, transfers and withdrawals must be made in writing.
  • You may substitute another person on the course if you wish (as long as that person meets the entry criteria) with no penalty.
  • Transfers and substitutions in relation to classroom courses must be undertaken within 12 months, and are conditional on alternative courses being available.
  • Refunds for withdrawal from distance learning will be granted on a case-by-case basis and subject to recovery of any administrative and material costs.
  • No refund is available to you personally if your employer pays the fees.

Completion Subsidy

Skills Organisation provides some funding for the training of advisers towards the New Zealand Certificate in Financial Services Level 5 (NZCFS5). This is paid by way of a Subsidy after all study has been completed and all training related fees must be paid in full before study commences.

The Subsidy is ONLY available on completion of the NZCFS5, defined as Core Strand plus one specialist Strand. The Subsidy is only available to students who have not already started their study.

The amount subsidised will be $500 plus GST per adviser and will be paid in arrears after the Certificate has been issued. Strategi Institute will pay the Subsidy to the beneficiary (the person/entity that paid for the study) within two months of completion of the Certificate, assuming it has all the information required to enable this.

Please note, it’s the students' responsibility to inform Strategi Institute on enrollment that they will be applying for the Completion Subsidy and aiming to complete meet the criteria listed here.


Strategi Institute reserves the right to cancel a course if the minimum number of enrolments is not reached. In these circumstances a candidate may transfer to another course of the same value at no cost, switch to online or distance learning (and receive a refund of the difference in price), or will receive a full refund of monies paid.

Copyright and indemnity

All study material is supplied only for use by Strategi Institute candidates. Except as permitted under the NZ Copyright Act 1994 no part of Strategi Institute’s training material may be reproduced, stored in a retrieval system, communicated or transmitted in any form or by any means without prior approval.

While every care has been taken in the preparation and supply of training resources, Strategi Institute Limited accepts no responsibility for any loss caused as a result of any person relying on the material supplied.

Information about you and your results 

Information about you and your learning achievements is governed by the Privacy Act, which Strategi Institute follows closely. You have the right of access to your personal information and to correct information Strategi Institute holds about you. There are five reasons why Strategi Institute might need to provide copies to other people of your personal information. They are:

  • To make photocopies of some of your assignments to use when the assessment is moderated by another person or persons. The purpose of moderation is to make sure that the assessment is fair, valid and consistent.
  • To report on your progress to an employer/head group/aggregator who has arranged, or is paying for all or part of your training. The employer may also ask for a summary of the overall course evaluation, in which case you may contribute to that evaluation.
  • For NZQA audit purposes.
  • For Skills Organisation registration purposes.
  • For any regulatory compliance assurance purpose required by your employer, by the Financial Markets Authority, or any other regulatory/statutory body.

When you submit the enrolment form you give permission to Strategi Institute to pass on your learning material and learning results to a restricted number of other people. If you have any concerns about your personal information being transmitted to other people, please contact us.

Statutory information statement for students required under section 234B of the Education Act

• Strategi Institute charges no student service fees.

• No governing member of Strategi Institute has any material conflicts of interest.

For further information, please contact us.