This webinar, presented by Strategi Compliance, explains what IPP 3A means in practice for FAP owners, managers, compliance officers, and financial advisers. The session covers when notification is required, when exceptions may apply, and what reasonable steps look like in a financial advice business. It also outlines practical ways FAPs can prepare, including reviewing privacy policies and understanding where client information comes from.
If your FAP receives client information from third parties, even occasionally, this webinar will help you understand what needs to be in place before the 1 May 2026 start date and how to take a practical and proportionate approach to compliance.
Derek Chen - Director & Head of Compliance, Strategi Group
Derek Chen is the Head of Compliance at Strategi Group, with experience across AML/CFT, financial services compliance, finance, and corporate law. His background includes licensed supervision, wholesale fund management, and compliance consulting. He holds a Master of Legal Studies in Corporate Law from the University of Auckland and a Master of Professional Accountancy and Finance from Massey University.
Derek is a Certified Anti-Money Laundering Specialist (CAMS), has passed CFA Level I, and is a practising financial adviser. He also serves as Treasurer for the IStart Chinese Theatre Club and shares financial insights with more than 2,000 WeChat followers. Fluent in English and Mandarin, he serves a diverse client base.
CPD: 1 hours
Member: Complimentary | Non-member: $50 (+GST)
A separate Zoom Registration Link will be emailed to registrants