Update on Licensing – questions and answers

Transitional licensing opens early November and we are fielding questions from members about the likely business scenarios they are considering and whether these are optimal or even feasible under the new licensing regime.  Many advisers are balancing the pro and cons of having their FAP licence in their own name (or their company’s) or conversely – joining a larger licensed body that meets their business and compliance needs.

In this webcast we will cover what are the ‘knowns’

• business explanations of structures such as authorised bodies
• timing of the transitional licensing register over the 7 months to June 2020
• the business requirements of applying for a full licence
• implications of ongoing licence obligations and resources required

We have received various scenarios about licensing which we will share.  Webcast participants are welcome to send in live questions to the webinar host on the day.   If you have a particular question or scenario you’d like us to explore – please send in your enquiry to the Association in confidence at andrewg@financialadvice.nz

About the Presenter

Steve Burgess is principal at Compliance Refinery and I has worked with financial adviser businesses for over 16 years and has always respected the vital role financial advisers play in their client’s lives. Compliance Refinery works with advice businesses to build solutions that allow them to bring more value to their clients and your business. Steve has regulatory experience with the FMA and in Canada as well.

Time ZOOM Call:  23 October 2019  11am-12pm   CPD one structured hour – Compliance

Cost: Members – complimentary,   To register please fill in the form below