Auckland workshop helps advice business leaders turn compliance into practice
Kaplan Professional has launched a face-to-face masterclass for leaders of New Zealand Financial Advice Providers (FAPs), aimed at helping advice businesses turn regulatory obligations into everyday practice.
The Responsible Financial Advice Provider Leadership Masterclass will run at Massey University’s Albany Campus in Auckland on Tuesday, 3 November. The 3.5-hour interactive workshop is designed for FAP owners, directors, senior managers, and compliance leaders.
Beyond ticking the box
Kaplan Professional chief executive Brian Knight said the session reflects a shift towards professional development that goes further than meeting minimum requirements.
“Professional development should not simply be about completing a requirement – it should help people become better practitioners and help businesses build stronger capability,” Knight said.
For firm leaders, the harder task is turning obligations into decisions, behaviours, and processes that staff understand and apply consistently, according to Knight. He argued that doing this well can support trust, client outcomes, and long-term growth.
“Strong compliance and strong commercial outcomes should not be viewed as competing priorities,” Knight added.
That challenge is sharpening. The Financial Markets Authority (FMA) has named mortgage fraud and commission-related conflicts among its 2026/27 priorities. Its monitoring also found inconsistent disclosure of the commissions paid to FAPs and advisers.
An experienced presenter
The workshop will be led by Trecia Brown, founder of Articulo HQ Consulting. Brown has spent more than two decades in senior financial services roles, working in national distribution, adviser support, and capability building, as well as aligning businesses with regulatory requirements.
She has been a senior manager at a Class 2 FAP, where she took the business through an FMA monitoring review, and is a qualified financial services educator and a member of Financial Advice New Zealand.
“Trecia understands the realities facing FAP leaders because she has worked directly with advice businesses and their people through significant industry and regulatory change,” Knight said.
Building on Kaplan’s NZ presence
The masterclass adds to Kaplan Professional’s existing education offering in New Zealand. Together with Massey University, the provider has developed qualification pathways that run from the Certificate in Financial Advice and the Diploma in Business Studies (Financial Advice) through to Massey’s Bachelor of Business (Financial Planning and Advice).
Kaplan also provides ongoing continuing professional development (CPD) through its Ontrack platform. The face-to-face format is designed to sit alongside formal qualifications and online CPD, giving advice business leaders a forum to tackle practical challenges together.
Knight said participants will work through real-world scenarios and compare approaches with peers. The session costs $380 per person and includes workshop resources, a copy of the presentation, and a certificate of attendance.
Stay informed with the latest housing market trends and mortgage insights — subscribe to our free daily newsletter.
