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External Compliance Audit - New Zealand

Sophie Grace can conduct an analysis to review and report upon your business compliance with applicable key legal and regulatory obligations.

The review will cover your compliance documentation, procedures and processes to ensure that they meet regulatory requirements and your AFA or QFE authorisations and conditions.

 

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External Compliance Audit

Sophie Grace will conduct the external compliance audit at your office. Depending on the size of your organisation, this could take half a day or several days.

Suggested areas of review are listed below, however areas of focus can be tailored according to the requirements of your business:

  • Compliance with FMA conditions
  • Anti-Money Laundering and Counter Financing of Terrorism
  • Conflicts of interest
  • Breach reporting
  • Promotional material
  • Risk management
  • Dispute resolution procedures
  • Outsourcing arrangements
  • Compliance arrangements
  • Responsible officers
  • Appointing, supervising and training representatives
  • IT resources
  • Human resources.