Helping financial advisers, product providers, and dealer groups navigate regulatory requirements with confidence – so you can focus on clients and growth, not compliance headaches.
At Compliance Refinery, our FAP Reviews service is a data-driven, continuous improvement programme designed to strengthen your advice process, reduce regulatory risk, and improve the overall quality and consistency of financial advice across your business.
Compliance Refinery specialises in guiding financial services businesses through the licensing process — from initial application to ongoing governance — so you can focus on what you do best.Whether you are applying for a Financial Advice Provider (FAP) licence, establishing a Discretionary Investment Management Service (DIMS), or registering a Managed Investment Scheme (MIS), Compliance Refinery provides end-to-end support — from FSPR registration through to a fully operational compliance programme.
At Compliance Refinery, our AML/CFT Compliance service helps FAP businesses meet their Anti-Money Laundering and Countering Financing of Terrorism obligations with confidence and consistency.We focus on practical implementation, not just documentation, so your compliance programme actually works in day-to-day operations.
At Compliance Refinery, our Community Building service helps FAP businesses strengthen relationships, improve engagement, and build a connected professional community across advisers, staff, and stakeholders.We focus on creating a culture of collaboration, trust, and shared learning within your business and wider network.
At Compliance Refinery, our Consultancy service provides expert, practical support to help FAP businesses solve complex compliance, governance, and operational challenges. We work closely with your business to deliver clear advice, actionable solutions, and ongoing support where needed.
Compliance Refinery works across the full spectrum of New Zealand's financial services sector.
Oversight and compliance across adviser networks.
Helping advisers stay compliant and client-focused.
Governance and compliance for investment schemes and DIMS providers.
Strengthening regulatory and risk frameworks.
Support for compliant digital advice solutions.
Compliance alignment for related financial services.
Responsible lending and CCCFA compliance support.
Governance and compliance systems for wholesale firms.
Strategic governance and regulatory guidance.
We make it easy for financial services companies — whether banks, insurers, lenders, or advice businesses — to focus on what matters most: being in front of clients. By streamlining compliance obligations, we free up time that would otherwise be spent on administration and regulatory housekeeping. We also help product providers and dealer groups maintain consistent, efficient compliance across their networks.
Our customers come to us because what they have been doing hasn’t been working as well as they would like. They haven’t had change that integrated into their business. Some have had starts and stops, some have previous providers that provided solutions that were manual or didn’t have uptake in their business. They also realise that the changes in the industry are significant and they want help ushering themselves into their next incarnation. We have great relationships and love working with our customers.
We continue to grow because we have experience in heavily regulated markets and truly understand what success looks like in that environment. We love to get to know your business and focus on solutions that work for you and your people. Manuals and generic processes don’t work if you don’t have buy in. We know how to make successful change happen… We focus on what change we can make for the long term, we know that is what benefits you and your clients.
Steven Burgess
Sheena Hall
Melanie Purdey
Rachel Terry
