What we do.
Consultancy.
We help you to understand your regulatory obligations and how to effectively comply with those obligations.
Assurance &
audit.
We can review your existing governance, risk and compliance frameworks to ensure that they comply with regulatory obligations. We can also help you to understand whether the frameworks within your business align with prevailing market views and the expectations of regulators.
Training.
We are passionate about empowering people through training. We offer bespoke in-person training and also digital training via our training platform, UpSkill (www.up-skill.co.nz).
Our digital training enables the people in your business to learn at their own pace and enables you to track their progress and assess their understanding.
Check out
here
Our digital training enables the people in your business to learn at their own pace and enables you to track their progress and assess their understanding.
Check out
here
Software.
We can help you to automate your compliance, risk, and assurance activities through software. We can also help your business and your directors to have better insight and oversight of these activities.
Our areas of expertise.
Guidance.
- Guidance on regulatory obligations and how to effectively comply with those obligations.
- Development of policies, documents, and tools to comply with regulatory obligations.
Financial Advice Providers.
- Preparation of financial advice provider licence applications.
- Review of financial advice provider licence applications.
- Development of policies, documents, and tools to comply with regulatory obligations.
- Review of existing policies, documents, and tools.
- External reviews and assurance testing.
- Assistance with remediating observations from monitoring visits.
- Initial and ongoing training.
Financial Markets Conduct.
- Preparation of market service licence applications.
- Review of market service licence applications.
- Development of policies, documents, and tools to comply with regulatory obligations.
- Initial and ongoing training.
- Review of existing policies, documents, and tools.
- External reviews and assurance testing.
- Assistance with remediating observations from monitoring visits.
FSP Registration.
- Guidance on regulatory obligations and how to effectively comply with those obligations.
- Registration on the FSP Register.
- Assistance with ongoing obligations.
AML/CFT.
- Guidance on regulatory obligations and how to effectively comply with those obligations.
- Preparation of Risk Assessments and AML/CFT Programmes.
- Review of existing Risk Assessments and AML/CFT Programmes.
- External assurance testing.
- Health checks and pre-AML/CFT Audit reviews.
- AML/CFT Audits.
- Initial and ongoing training.
Governance.
- Governance reviews.
- Development of oversight and governance documents.
- Board training.
Compliance Assurance Programmes.
- Assistance with developing and implementing compliance assurance programmes.
- Reviews of existing compliance assurance programmes.
- Training on how to develop, implement and maintain a compliance assurance programme.
- Training on how to undertake assurance testing, record and report the results from assurance testing, and remediate deficiencies identified through assurance testing.
Risk Management.
- Assistance with developing and implementing risk management frameworks.
- Reviews of existing risk management frameworks.
- Development of risk appetite statements.
- Training on how to develop, implement and maintain risk management frameworks.
- Training on how identify, manage, report, and communicate risks.
Audits & Assurance.
- External reviews of governance, risk, compliance, and assurance frameworks.
- Ongoing external assurance testing.
- Assistance with remediating the observations from monitoring visits undertaken by a regulator.
- AML/CFT audit in accordance with section 59 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
- Assistance with remediating the observations from compliance and AML/CFT audits.
Ongoing Support.
- We offer in-person and digital training to all levels of an organisation.
Who we work with.
We focus on the industries and businesses where we know we can help to make the biggest difference.
- Accountants. *
- Brokers.
- Banks.
- Credit funds.
- Client money and property servicer providers.
- Equity crowd funding platforms.
- Financial advice providers.
- Financial leasing.
- Forestry schemes.
- High-value dealers. *
- Independent trustees.
- Issuers (equity and debt securities).
- Kiwisaver providers.
- Lawyers. *
- Managers of managed investment schemes.
- Non-bank non-deposit taking lenders.
- Payment providers.
- Payroll providers. *
- Peer to peer lenders.
- Property syndicators.
- Real estate agents. *
- Reporting entities subject to oversight by the Financial Markets Authority, Department of Internal Affairs and the Reserve Bank of New Zealand.
- Stored value cards.
- Supervisors.
- Trust and company service providers. *
- Venture Capital Firms.
* AML/ CFT services only.
Looking to make AML/CFT compliance simple?
- Training
- AI Assistant
- Certification
