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Use the business you DON'T want to get the business you DO


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Coaching and mentoring for financial advice professionals is what Strictly Business Ltd & Tony Vidler do mostly, and best.

A key element in building a successsful practice that is often overlooked is having a business mentor or advisory board member to your professional financial services firm who can enhance the governance, business processes and strategic thinking capacity - all of which add real long term business value to a practice.

At individual adviser level significant value can be created through coaching and mentoring sales process, sales skills, or delivering sales training and providing guidance to financial advisers that builds better performance, client satisfaction and sales results.  

Genuine and unique expertise is delivered by Tony Vidler in the areas of defining value proposition (or USP); branding of both the individual financial adviser and/or the financial planning or financial advice practice; engagement marketing strategies that produce results (particularly in the areas of content marketing, use of social media, and, digital marketing); and providing templates, guides, tools and expert consultancy in building best practice financial advice process that produces better performance for financial advisory businesses.

The bottom line is we will get you more customers, and grow your revenues.

Regulation News & Info

Here are guidance notes, announcements, discussions or articles for New Zealand financial advisers on compliance and evolving best practice advice standards. There are expert opinion pieces from various sources, including New Zealand's leading legal specialists in financial services.

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Summary of Changes to Code of Professional Conduct for AFAs (Nov 2016)

Code of Professional Conduct (May 2016)

FMA Guide to Conduct

The Last of The AFA's

FMA Sales & Advice Report (30 June 2015)

FMA investigations & Enforcement: Key Themes (June 2015)

AFA's In NZ - A Snapshot (July 2013-June 2014)

FMA Guidance Note Effective Disclosure for issuers

FMA Strategic Risk Outlook 2015

FMA Audit Quality Review Report 2014

FMA KiwiSaver Report (to June 2014)

FMA Guidance Note: Statements of Investment Policy and Objectives

Expectations of advice

FMA Investigations and Enforcement Report 2014

FMA Authorised Financial Advisers monitoring report 2014

FMA Qualifying Financial Entities monitoring report 2014

Key decisions made on FMC regulations

AML & CFT Annual Report User Guide

RDR: The New Approach To Financial Advice (UK)

Guide to licensing small DIMS businesses

Door-to-door and telemarketing sales March 2014

Key changes to DIMS providers (DLA Phillips Fox update)

Privacy Act reformed and strengthened (DLA Phillips Fox update)

AML FAQ's

Survey shows investors look forward to easy to follow IPO offer documents

Timeline for change - FMA

When will you need to comply?

Revised Code of Professional Conduct for AFA's

When the FMA comes a knocking...

AFA Monitoring Report (July-to-December-2013)

Changes ahead for AFA's who provide DIM's

FMA Guidance Note: Broker Obligations (February-2014)

ASIC Written Advice Guidance

FMA Client Communications guidance

FMA Limited Personalised Advice guidance (Dec-2013)

AFA's who provide DIM's guidance

FMA AFA Update (Nov 2013)

FMA Guidance Note: Effective Disclosure 8 june 2013

FMA Guidance Note: DIMS 24-october-2013

Credit Contracts & Financial Services Law update: DLAPF 10 Oct 13

The Continuing Education (CE) Charade

Review of financial advice industry practice (ASIC) 31-July-2013

DLAPF Update Aug13: Financial Markets Conduct Bill passes

In this time of creation: attributes of professional bodies

Kensington Swan: Proposed DIMS providers & custodians changes

Kensington Swan: FMA's report on QFE's (could do better!)

Kensington Swan: Update on new tax rules for super

Anti-money laundering: Thoughts from an AML & CFT supervisor

FMA Investigations and enforcement report

FMA AFA Monitoring report to march 2013

DLAPF Financial Services Update June13: Financial Markets Conduct Bill

DLA Super & Funds Legal Update June13

Replacement Business - what's the issue?

DLAPF Financial Services Update May 2013 - Class Exemption notices

Funds & Superannuation Update DLAPF Apr 2013

FMA Guide: AML identity verification code of practice

FMA Guide: AML ordinary course of business guideline

FMA Guide: AML for Financial Advisers

FMA Guide: Anti-money laundering & countering financing of terrorism

FMA Guide: AML guideline for publication docs

FMA Guide: AML beneficial ownership guideline

FMA Guide: AML fact-sheet for clubs and societies

FMA Guide: AML fact-sheet for co-operatives

FMA Guide: AML fact-sheet for partnerships

FMA Guide: AML fact-sheet for trusts

Kensington Swan Banking & Finance litigation update April 2013

FMA Compliance Focus for 2013

DLA Funds and Superannuation Update 22 Jan 13.pdf

Kensington Swan COURT OF APPEAL ON DIRECTORS DEFENCE COSTS.pdf

DLA Financial Services Update 17 Jan 13.pdf

How to spot an investment scam.pdf

Kiwisaver: are you getting the right advice.pdf

Questions to ask your financial adviser.pdf

When does information become advice.pdf

Beneficial Ownership Guide FMA

Court rejects "Investment Advice" Exclusion

FMA Enforcement Policy.pdf

FSC Super Recommendations.pdf

Liabilities of Financial Advisers - Gilmour v DecisionMakers (Waikato Ltd)

QFE Feedback summary.pdf

What type of advice is needed.pdf

Churn debate on hold.pdf

Future of Financial Advice (FoFA): Best Interests Duty & Obligations (ASIC Guide & Consultation paper)

FMA Report on Market Conduct.pdf

Kiwisaver sale and distribution review.pdf

FMA Guidance Note: Standard 6 Analysis.pdf

What if the game changed overnight.pdf

The dangers of a mindless adherence to process.pdf

Assessing suitability of advice (FSA guide - overseas regulator)

DLAPF Financial Services Legal Update - December 2012.pdf

DLA Insurance Update - October 2012.pdf

AFA Monitoring Report September 2012.pdf

AFA Survey 2012 summary of findings FMA.pdf

Kiwisaver annual market report 2012.pdf

Financial Services Update September 2012 DLA.pdf

Guidance Note - kiwisaver sale and distribution - june 2012.pdf

FMA kiwisaver report for the year ended 30 june 2012.pdf

KS Insight Financial markets conduct bill.pdf

FSC Pensions report - FINAL Publication 17 June 2012.pdf

Financial services legal update Kensington Swan June 2012.pdf

Review of financial industry practice (ASIC, Sep 2011)

Key conduct obligations for NZ Financial Advisers - Russell McVeagh opinion (courtesy of NZ Funds).pdf

FMA final guidance on Effective Disclosure.pdf

AFA Adviser Business Statement Guide June 2011.pdf

FOS determination 18959.pdf

Kiwisaver sale and distribution review.pdf

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Registration process for entities.doc

Registration Process for individuals.doc

Continuing Professional Development.doc

Financial Markets Authority Levies and Companies Office FSPR.pdf

NZ Regulatory Update September 2010.pdf

FPSB CFP (Certified Financial Planner) Certification.pdf

CFA Institute integrity list.pdf

 

Check the Strictly Business SOLUTIONS - COACHING page for information on personal coaching and mentoring for financial advisers, or a business mentor for a financial adviceor financial planning practice.  Plenty of information on sales process, sales skills & sales training, social media marketing, content marketing and branding is available via the Strictly Business SOLUTIONS - RESOURCES and far more resources are provided to subscribers to the ADVISER LIBRARY.

 
Tony Vidler: tony@strictlybiz.co.nz