The problems we solve.
Not sure what regulatory obligation you are required satisfy.
We have expertise in most financial services laws in New Zealand. Where we don’t have expertise in a particular area, we have a network of trusted partners that we can put you in contact with.
You're not sure how to effectively satisfy your regulatory obligations.
We have worked with many businesses of different sizes to develop, implement, maintain and improve governance, risk and compliance frameworks. This experience has allowed us to understand what does and doesn’t work when it comes to complying with regulatory obligations.
We will help you to understand the regulatory obligations that you are required to comply with and we will help you to effectively comply with those obligations.
You're not sure if what you are doing is compliant or in line with market practice.
We can review what you’re doing and provide feedback on whether you’re complying with your regulatory obligations and whether what you are doing is in line with market practices.
You have capacity constraints whithin your risk, compliance and / or assurance functions.
Executing projects whilst still completing business as usual functions can be an almost impossible task. We can assist with the project work by helping to create tools and draft policies, documents, checklists and forms.
Multiple consultants are assisting you.
There is overlap in the regulatory obligations that are required to be satisfied under New Zealand’s financial service laws. As an end compliance consultancy firm, we understand where these overlaps excist and how to develop frameworks that avoid duplication.
You're managing your compliance, risk and audit functions using excel spreadsheets.
Software can be used to automate manual and time consuming compliance, risk and audit activities and can be used to provide greater insight and oversight into these activities.
Negative observations from a monitoring visit.
We can help you to respond to the regulator following a monitoring visit and we can also help you to remediate the observations from a monitoring visit.
Training is required at all levels of your business.
We offer in-person and digital training to all levels of an organisation.
You don't know where to start.
Sometimes you just need a sounding board or an example to start from. We can provide you with this initial guidance and examples, which you can then develop and tailor to meet your requirements.