Financial Advice Providers

We assist financial advice providers to satisfy their initial and ongoing compliance obligations.

 

We offer the following services to financial advice providers:

  •   Understanding and complying with regulatory obligations.
  •   Registration on the Financial Service Provider Register.
  •   Assistance with joining an approved dispute resolution scheme.
  •   Preparation and submission of a FAP Full Licence Application to the Financial Markets Authority.
  •   Preparation, review and amendments to financial advice documentation.
  •   Preparation, review and amendments to disclosure documentation.
  •   Developing and implementing policies, documents and tools in order to effectively comply with regulatory obligations.

Feel free to contact us at any time if you would like further information about the services that we provide to financial advice providers.  We don’t charge for an initial consultation, and in this consultation we will give you guidance and let you know how we can assist.

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