Compliance Advisory Services
Having effective compliance policies, processes, systems and controls is a fundamental cog in the success of any business.
Apista's expertise in compliance management helps to identify and mitigate potential risks, and to protect your business from legal penalties and reputational damage.
Financial Advice Compliance Advisory
There are many elements to compliance when providing financial advice services in New Zealand. However, the regime is more flexible than you may think. Although there are rules to follow, these are largely principle-based rather than prescriptive. What is important is being able to demonstrate how you comply and this is where an independent, external set of eyes provides value.
We work with financial advisers and their businesses to support compliance with:
- the duties set out in sections 431I-431P of the Financial Markets Conduct Act 2013
- the standards set out in the Code of Professional Conduct for Financial Advice Services, and
- the standards of the New Zealand Certificate in Financial Services (Level 5) V2.
At Apista we provide a full range of advisory services for existing or prospective financial advice providers (FAPs).