Licensing and Compliance

The changes to the financial service industry brought about by the FMA can be intimidating. Don’t be afraid of compliance, make it your friend.

Adviser Support Ltd will lend you a helping hand in your journey from transitional to full license, so you know exactly what is required and everything goes as smoothly as possible.

“If you think compliance is expensive – try non-compliance.”
Paul McNulty


Feedback and advice on these key elements required for full licensing

Tailored policies, processes and procedures

Help adjusting your business policies and procedures in a way that works with your sales process and is compatible with the new industry standards

Business plans and strategies

Feedback and guidance when putting together the mandatory Adviser business plan and business strategy


Ongoing compliance oversight to assure that your systems and procedures adhere to the new standards and that there are no gaps in your client files

System checks

Ensuring your systems are robust and meet the new industry requirements

File audits

Audit of client files on a monthly basis by our dedicated compliance officer


How you manage complaints is crucial to your business and complaints can be a minefield if not dealt with correctly.

Complaints register

A system to record complaints and their outcomes

Serious complaints support

Our experts’ support when dealing with serious complaints

Join our team today!