FSP Registration
The Financial Services Providers Register ("FSPR") is a searchable online register of people, businesses, and organisations that offer financial services.
If you provide a financial service, then you must be registered on the FSPR. You must be successfully registered before you can provide financial services.
We can assist you with this registration.
Licencing
Most financial market professionals require a license in order to do business. Licences are issued by the FMA and the RBNZ, depending on the type of activity. Refer to the website of the Finance Markets Authority (FMA) or Reserve Bank of New Zealand (RBNZ) for license information.
We are experienced in helping businesses to prepare a licence application. Once the license is issued, we can provide ongoing risk and compliance services to assist you with the licence conditions and regulatory obligations.
We can assist in the license application process by:
Reviewing or creating policies and procedures
Creating risk and compliance frameworks
Reviewing governance frameworks
Recommending changes and improvements
Creating and implementing Compliance Assurance Programme (CAP)
Drafting a Fair Conduct Programme (FCP)
Drafting a Risk Management Programme (RMP) and Risk Register
Do you require a part resource Risk and Compliance Manager – use only what you need, instead of assigning a full time resource
Review and implement compliance and risk frameworks, policies and procedures
Support the business in compliance needs
Monitor controls
Report to management and the Board
Maintain registers
Compliance Assurance Programmes (CAP) - we are experienced in creating, implementing and monitoring your CAP.
