Get ready for Compliance changes in 2019.

The upcoming changes to the Financial Advisers Code of conduct (Code) has understandably caused angst, leading to uncertainty and concerns among financial advisers ABC has been actively observing the evolving changes to the Code and developed an in-depth understanding of the revised Code and its impact to Financial Advisers.

At ABC we tailor solutions to meet your unique business needs while, ensuring you are always compliant with the Code. ABC adopts a pragmatic approach for Code compliance . We believe this approach offers real and workable solutions, reducing operational impact and excessive compliance burden to your business. As part of our wide ranging services, we offer a secure online portal assessment service “Remote Compliance”. This service reduces the need for disruptive onsite visits.

The revised Code is proposed to include a NEW section for CLIENT CARE and sets outs specific compliance requirements under this Code Standard. Given this is a new Code Standard, its likely your adviser business compliance arrangements will require strengthening in this area.

To find our whether your current arrangements comply under the revised Code or require improvements, please contact us to discuss your requirements. We offer discounted rates for Quotemaster and FANZ members

To find out more please contact Gavin Austin at gavin@abcompliance.co.nz

Services:

Business Development and Succession Planning

Recruitment, Staff Training & Coaching

Business Process Reviews

Licensing

Quality Assurance Development

Risk Management Solutions

 

 

Compliance Assistance

Advice Process reviews

Professional Development Planning

Guidance on Disclosure regulations

Website Compliance

DOCUMENTATION AUDIT

 

                  

 

 

Compliance Audits

ABS Reviews

AML/CFT Reviews

AML/CFT Audits

Advocacy Services