Strategi and Strategi Institute have developed a range of publications and resources to assist advisers and QFEs to increase profitability, improve efficiency and meet industry best practice standards. These are a natural complement to the compliance reviews and consulting services conducted by Strategi, or the CPD modules and training courses conducted by Strategi Institute.

This guide analyses the continuing professional development (CPD) requirements under the Code of Professional Conduct for Authorised Financial Advisers. It provides advice, tips and useful templates with regards to how all financial advisers should approach CPD.

Free Download

This comprehensive manual and kit has been developed by Strategi Institute and is a complete guide for those who need to meet AML/CFT obligations. It includes:

  • Guidance Note
  • Checklists.
  • Sample templates.
          • Worksheet.
          • Appendices
          • Information on how to undertake Customer Due Diligence (CDD) and identity verification.
          • What is involved in the compulsory AML/CFT audit.

Cost: $546.25 NZD incl GST

Licensed for use within a single practice in a single office or location.
Contact us for multiple-office pricing or more information.

This comprehensive handbook, produced by Strategi Institute, is an ongoing reference guide to the relevant legislation, regulations and code relating to operating as a financial adviser. (It also covers the content of the new Standard Set B exam.)

You will no longer need to wade through boring statutes to find the necessary information or spend hours searching online to find the meaning of a particular Act. It is all here in one simple to read, easy to navigate handbook that will be an indispensible part of your compliance kit for years to come.

Please contact us if you would like a bound hard copy of the manual for $55 + GST and $6 p&p

Cost: $35 + GST (electronic PDF)

Single license only

Strategi's Operations Manual template can take the guesswork out of what information this document should contain.  It includes all the sections you need to consider, providing a great starting point and allowing customisation of the contents to your business.

 

Cost: $517.50 NZD incl GST

Licensed for use within a single practice in a single office or location.
Contact us for multiple-office pricing or more information.

 

DIY 30 Minute Compliance Check

Guest accessSelf enrolment

A DIY compliance overview on a regular basis could save you and your business from operating on the wrong side of the legislation, regulation and the Code, and suffering the consequences.

Free

An Adviser Business Statement (ABS) template customised to a typical financial planning practice. Use this template and accompanying guidance note to produce your own tailored solution.

This solution will save you hours of work and avoid a regulatory breach.

Cost: $115.00 NZD incl GST

Licensed for use within a single practice in a single office or location.

Strategi's Best Practice manual has been developed to help advisers meet their industry obligations.  This comprehensive manual covers all aspects of best practice and compliance and includes over 55 templates , plus checklists, that will simplify how you do business and help you meet legislative and regulatory requirements.

Purchase of the Best Practice manual will entitle you to ongoing amendments and updates as they occur for a period of 12 months after purchase. Some templates may also be purchased separately.

Cost: $920.00 NZD incl GST

Licensed for use within a single practice in a single office or location.
Contact us for multiple-office pricing or more information.