Service
Financial Advice Compliance Assurance
6 categories registered, 2 categories rejected  
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.
Status Comments History
Registered A service is unable to be registered under both the Management Capability Fund and COVID-19 support. Please resubmit a separate service to register under the COVID-19 business advisory fund. 20/05/2020 Service created
26/05/2020 Registration Rejected
7/06/2020 Description Changed
8/06/2020 Registration Granted
15/09/2020 Description Changed
16/09/2020 Registration Granted
Service Category Fund Provider Status Comments History
Business Planning NZTE Registered 20/05/2020 New Registration Requested
26/05/2020 Registration Rejected
7/06/2020 Registration Requested Again
8/06/2020 Registration Granted
Business Sustainability NZTE Registered 7/09/2020 New Registration Requested
8/09/2020 Registration Granted
Business Systems NZTE Registered 20/05/2020 New Registration Requested
26/05/2020 Registration Rejected
7/06/2020 Registration Requested Again
8/06/2020 Registration Granted
COVID-19 Support NZTE Rejected 6/09/2020 New Registration Requested
7/09/2020 Registration Rejected
7/09/2020 Registration Requested Again
8/09/2020 Registration Rejected
15/09/2020 Registration Requested Again
16/09/2020 Registration Rejected
Digital Enablement NZTE Rejected 15/09/2020 New Registration Requested
16/09/2020 Registration Rejected
Governance NZTE Registered 7/06/2020 New Registration Requested
8/06/2020 Registration Granted
Managing Resources NZTE Registered 7/09/2020 New Registration Requested
8/09/2020 Registration Granted
Marketing NZTE Registered 7/09/2020 New Registration Requested
8/09/2020 Registration Granted
 
Auckland, Waikato, Taranaki, Wellington, Canterbury, Otago, Southland, Northland, Bay of Plenty, East Coast, Hawke's Bay, Manawatu Wanganui, Marlborough Nelson Tasman

Events

 

Are you sure you wish to Cancel this Service? This will also Cancel all of its Events and Bookings. Vouchers will be returned as necessary.