IT Support for Wellington Financial Advisers and Brokers
Advisers handle exactly the information criminals want: identity documents, bank statements and the details of large money transfers. A licensed financial advice provider is also expected to keep its technology resilient and to report serious disruptions to the FMA. Precedent looks after the technology and the paperwork that shows it’s under control.
We support financial advisers, mortgage advisers, insurance brokers and KiwiSaver advisers across the region, including Wellington City, the Hutt Valley, Porirua, Kāpiti and Wairarapa.
Systems we work alongside
Adviser CRMs and platforms such as Xplan, Trail and Salestrekker; lender, insurer and KiwiSaver provider portals; e-signature tools; identity verification services; Xero; Microsoft 365 or Google Workspace.
Meeting FMA expectations
The FMA’s standard licence conditions expect a business continuity plan, resilient critical technology systems, and prompt notice to the FMA if those systems are seriously disrupted. We set up and test backups, document your systems and continuity plan, and help you recognise when an incident needs to be reported.
What’s included
- Business continuity: A documented continuity plan, a register of critical systems, and backups that are regularly tested
- Client data protection: Encrypted devices, multi-factor sign-in on your CRM and provider portals, and access removed when staff leave
- Fraud protection: Spoofing protection on your email domain, suspicious-email filtering and a call-back process for payment changes
- Secure document exchange: Client portals and e-signatures instead of emailing ID documents and bank statements
- Record keeping: Advice records and emails kept for as long as you need them and easy to find
This sits on top of our core managed IT service, tailored to your organisation.
Business-hours support, Monday to Friday 08:30–17:00, with after-hours cover arranged for managed service clients when you need it.
Where AI can help
- Meeting notes: Client meetings summarised into file notes for your CRM, with the client’s consent
- Advice documents: First drafts of statements of advice and cover letters for the adviser to review
- Application paperwork: Payslips and bank statements summarised for lending and insurance applications
- File checks: Client files checked for missing disclosures, signatures and documents
We set this up with approved tools such as Microsoft 365 Copilot, Gemini, ChatGPT or Claude on business plans that don’t train on your data, keep client information out of public AI tools, and make sure the adviser reviews everything. The advice is always yours. More about AI integration.
First step: a resilience and security check
We review your backups, continuity plan, email security and access to client data, and give you a prioritised list of fixes.
Common questions
Will this help with our FMA licence obligations?
Yes. We put the technology controls in place and document them, so you can show how they’re met. Compliance remains your responsibility, but the evidence will be ready when you need it.
Can you work with an adviser network or dealer group’s systems?
Yes. We support the devices and accounts your team uses to reach your network’s platforms, and keep within their requirements.
Call 04 282 0045 or send us a message to get started.