Compliance Assurance Program development particularly for financial advice providers.
This is an individual training and development process to become compliant with Financial Advice Provider licencing requirements for Financial Advice business owners.
This is a personalised (1-to-1) training and development program with a practical focus on developing the framework, tools and skills required to obtain and run your own FAP legally and compliantly. Content is bespoke to each business, taking into acount their existing management and advice systems, and following a Gap Analysis to determine what content is required.
It is a one-to-one service in other words.
It is particularly relevant for advice businesses affected by COVID-19 who have had to re-assess their strategy in light of changed business conditions, and who particularly need guidance in ensuring that revised marketing and digital delivery of financial advice processes are being done so compliantly and effectively.
Cost is $3,500(+ GST) for checklist, resources and FAP-readyness assistance.
Upon completion the FAP business owner will have the framework to be compliant in the new regime, together with the knowledge on how to manage the business requirements to operate and advise business. Time commitment from the business owner will be dependent upon how advanced their Compliance Assurance Program preparation is currently, however it should be expected that for most business owners approximately 12-15 hours of time will be required, together with 45-60 hours of their own time, implementing learning and applying the tools and processes within their practice.
Auckland, Waikato, Taranaki, Wellington, Canterbury, Otago, Southland, Northland, Bay of Plenty, East Coast, Hawke's Bay, Manawatu Wanganui, Marlborough Nelson Tasman