WHO WE ARE

Specialist Compliance and AML/CFT consultants based in Auckland, New Zealand.

 

We provide Compliance and AML/CFT services to businesses operating in the financial service and credit industry in New Zealand.  Our knowledge of New Zealand’s regulatory environment, along with our operational experience allows us to provide our clients with commercially focused Compliance and AML/CFT solutions.

 

We help our clients to obtain authorisation to operate in New Zealand, satisfy their initial and ongoing regulatory and AML/CFT obligations and to promote compliance internally within their business through targeted compliance training.

 

We provide services to both New Zealand and international clients.

OUR SERVICES

AML / CFT

 

We offer a full range of AML/CFT services to assist you in meeting your obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009. Our services include, conducting AML/CFT Risk Assessments, preparing AML/CFT Programmes, conducting internal and external audits and reviewing and implementing customer due diligence and transaction monitoring solutions.

Licences

 

Preparing an application for a market service license under the Financial Markets Conduct Act 2013 is a critical and complex process. We facilitate the preparation and submission of your market service licence application to the Financial Markets Authority.  We also offer ongoing support during the review period, as well as post licensing assistance with ongoing compliance obligations.

On-Site Assistance

 

Understanding and implementing your Compliance and AML/CFT obligations can be difficult. Our on-site assistance service puts one of our specialist consultants into your business to assist with the day-to-day implementation and operation of your Compliance and AML/CFT programmes.  We will provide hands on advice, guidance and real time training in order to assist you and your team.

Training

 

We provide a range of training solutions designed to up-skill frontline staff, compliance officers, senior managers and directors.  We offer standardised training programmes as well as customised training programmes that can be tailored to suit the specific requirements of your business. Either can be delivered digitally or face-to-face.

Consulting

 

Our consultancy support is specific to the requirements of individual clients.  We assist our clients to fully understand their regulatory compliance obligations and the actions required to satisfy those obligations.  We also advise clients on the steps that can be taken in order to minimise the likelihood of regulatory intervention.

Financial Service Providers

 

We assist individuals and entities operating within the financial service and credit industry in New Zealand to satisfy their initial and ongoing obligations under New Zealand’s financial services laws.  In particular, we offer compliance assistance to financial service providers, financial advisers, authorised financial advisers, QFEs, custodians and brokers.

Why us
Commercially focused 
Simple and effective Compliance and AML/CFT solutions tailored to your business 
Compliance services across a range of regulatory regimes 
Premium service and value for money

PHILOSOPHY

 

We believe that compliance management should work for your business, rather than being a burden on your business. To achieve this, you need a simple and effective compliance regime tailored to your business.

 

APPROACH

 

We guide you through the complexities of financial service and AML/CFT regulations so that you have a full understanding of your compliance obligations.  We then work with you to create and implement compliance frameworks and programmes that are fit for purpose and can be integrated into your business in a meaningful way.  Our simple, effective and tested approach to compliance means that you will spend less time on burdensome and ineffective compliance regimes and more time concentrating on your business.

 

We operate on the principles of quality, transparency, value and service.  Our clients take confidence knowing that they are receiving a premium product and service, without the premium price tag.

We aim to take the complexity out of compliance through simple and effective Compliance and AML/CFT solutions tailored to your business

CONTACT US