Responsible Financial Advice Provider Leadership Masterclass

Turn senior leadership obligations into practical action. This live, in-person masterclass equips Financial Advice Provider (FAP) leaders across New Zealand with tools and insights to strengthen governance, manage risk and confidently meet key regulatory expectations.

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Please complete this form to request enrolment into the next FAP leadership masterclass. A member of corporate sales team will be in touch to take payment and complete the enrolment within 3 business days of submitting this form.

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Will the invoice be settled by an organisation holding an approved Kaplan Professional account, or by the individual enrolling for the masterclass?

Company invoicing is only available to organisations with an approved Kaplan Professional account. Invoices can only be issued and sent to authorised representatives. If you're not authorised, we will seek approval from your organisation before completing the enrolment. To enrol multiple attendees, you’ll upload their details in the next step.

Individual invoicing will be issued and sent directly to the attendee being enrolled.

Please select the option that best describes your situation:

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Masterclass overview

STUDY MODE

In-person

NUMBER OF SUBJECTS

N/A

NEXT INTAKE

3 Nov 2026

COURSE FEE

$380.00

AVAILABLE LOANS

N/A

AQF LEVEL

N/A

COURSE DURATION

3.5 hours

ACCREDITATION

N/A

PROVIDER ID

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Senior leaders within a Financial Advice Provider (FAP) are responsible for turning complex regulatory obligations into effective day-to-day business practices. This live, in-person 3.5-hour masterclass provides practical guidance for navigating these responsibilities with greater clarity and confidence.

Through real-world case studies, facilitated peer discussion and practical tool-building, participants will explore how to strengthen governance, oversee conduct and supervision, manage business risk and fulfil key obligations under the Financial Markets Conduct Act. The masterclass moves beyond compliance theory, giving FAP leaders practical approaches they can adapt and apply within their own organisations.

Key topics include:

Governance and legal mandate
Supervision and risk management
Competency and vetting
Conflicts and incentives governance

Who should attend?

This workshop is structured specifically for key leaders in financial advice businesses:

Class 2 FAP Senior Managers: Individuals who hold significant influence over the management or administration of the financial service provider.
Class 2 FAP Owner-Operators / Directors: Business owners contracting more than two advisers.
Non-Product Provider FAPs: Designed specifically for financial advice businesses rather than product manufacturers, ensuring discussions remain tightly targeted on advice conduct and oversight.

Presenter

Trecia Brown

Trecia is a Strategic Executive and founder of Articulo HQ Consulting, dedicated to enabling ethical growth, regulatory alignment, and sustainable success across New Zealand’s financial services sector. With over 20 years’ senior leadership experience, she specialises in helping advice businesses thrive by embedding compliance, uplifting capability, and designing frameworks that support long‑term customer outcomes and business growth.

She has led National Distribution Teams and Adviser Support Programs, contributed to industry forums shaping financial advice, and successfully navigated an FMA monitoring review of a class 2 FAP in which she was a Senior Manager. She is also a qualified financial services educator and a member of Financial Advice NZ.

Trecia believes great advice businesses are built on trust, and trust begins with confident compliance, clear strategy, and a commitment to doing what’s right.

Date, time and location

Date: 3rd November 2026

Time: 9:00am – 12:30pm NZST

Location: Innovation Complex, Massey University, Albany Campus, Auckland

Light refreshments provided

Fees

NZD $380 (including 15% GST) per person.

The Responsible Financial Advice Provider Leadership Masterclass is delivered in New Zealand by Kaplan International NZ Limited (NZBN 9429039212153). Course fees are charged in New Zealand dollars (NZD).

Policies

Student policies

Individuals who enrol in a Kaplan Professional course are bound by our published policies, including the policy that sets out our rules for assessment. Individuals can review these policies here. The policies also assist individuals when their study program does not go as planned and they need extra support.