Services

APLUs COMPLIANCE services

AML/CFT Consulting

We provide a full range of AML/CFT consulting services to assist reporting entities in meeting regulatory obligations and the Supervisors’ expectations.

Compiling AML/CFT AML/CFT Risk Assessment
Compiling AML/CFT Programme
Compiling checklists and internal reporting templates
Designing and implementing the remediation plan based on the desk-based or on-site supervision review undertaken by supervisors
Liaising with the regulator after the desk-based or on-site supervision review
Providing general and customised training

We will ensure we understand your business and the difficulties you are facing, as there will not be any one-fit-all solutions. We focus on providing pragmatic solutions for you.

APLUs COMPLIANCE services

FSPR Registration and Licence Application

All financial service providers must be registered on the Financial Service Providers Register (FSPR) to legally provide financial services to clients in New Zealand.  We help businesses apply for FSPR registration and licences supervised by the Financial Markets Authority (the FMA)

Services we provide include:

Identifying which financial service you should apply for
Completing the application forms and questionnaires
Liaising with regulators to process the application
Compiling documents required by the supervisor
Providing on-going compliance support
Establishing internal compliance processes
Providing necessary training

We have extensive experience in applying for registrations and licences and liaising with regulators to ensure the application assessment is as smooth as possible.