NZ Financial Markets Conduct and CoFI Compliance Corporate Training
Instructor-led CoFI and conduct compliance training for New Zealand financial institutions
This corporate training program helps your team Learn the CoFI regime and the FMA conduct duties that apply to your institution, Develop fair conduct programmes and monitoring controls, and Build regulator-ready licence evidence. Edstellar, a corporate training company, prepares employees for the conduct compliance workflows the FMA expects.
Instructor-led group trainingVirtual / on-site / off-site10 languagesDelivered inEnglish, Spanish, Mandarin, German, Arabic, Portuguese, Hindi, French, Japanese, Italian100+ countriesWe have delivered inUnited States, United Kingdom, India, Canada, Germany, France, Netherlands, UAE, Saudi Arabia, Singapore, Australia, Japan, Brazil, South Africa and 90+ more countries
How we build a conduct-ready team
The Edstellar FINANCIAL MARKETS CONDUCT & CoFI COMPLIANCE Capability Model
Diagnose
We assess your team's grasp of CoFI conduct duties, mapping your products, processes, and evidence against the FMA's expectations.
Standardize
We set a consistent compliance baseline: fair conduct programme structure, control standards, and documentation habits.
Practice
Guided labs drill licence readiness checks, conduct risk registers, and complaint remediation on realistic case files.
Measure
Scored labs and the capstone audit track competency, surfacing the conduct gaps your team must close first.
Scale
We leave repeatable conduct checklists and monitoring playbooks your team can apply across every business line.
Need more than one program?Get a group quote
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Program Overview: What is NZ Financial Markets Conduct and CoFI Compliance?
NZ Financial Markets Conduct & CoFI Compliance is Edstellar's instructor-led compliance program for financial institutions meeting New Zealand's conduct regime. Participants master CoFI regime foundations, FMA conduct licensing, fair conduct programme design, conduct risk and monitoring, and disclosure with complaints and remediation. The focus stays on practical skills: a fair conduct programme the FMA will recognise.
Training is exercise-driven from the first module. Participants map the CoFI regime, review licensing requirements, draft fair conduct programmes, build conduct risk monitoring, and work through disclosure and remediation scenarios in guided workshops. Instructors coach your team through FMA expectations, reviewing every exercise with direct feedback on what good conduct evidence looks like. The program closes with a capstone: a full FMA readiness audit.
Conduct regimes punish the unprepared: licensing conditions unmet, fair conduct programmes that exist only on paper, and customer harm discovered by the regulator. This program teaches your institution to run conduct as an operating discipline, with monitoring and remediation built in. Every requirement is practiced in exercises, so the learning transfers to your compliance program.
The capstone is a full FMA readiness audit: your team assesses licensing, fair conduct programme, monitoring, and remediation against regulator expectations, with a closure plan for every finding. What returns to the firm is an audit-ready conduct programme and a team that understands what the FMA will ask before it asks.
Teams move from foundations to advanced application: the conduct amendments, the institutions in scope, and the FMA role as regulator. Licensing modules cover licence classes, standard conditions, and application evidence. Fair conduct programme modules tackle programme design, product governance, incentives, and monitoring. The capstone runs a simulated FMA conduct review: teams audit a programme, build the evidence pack, and present remediation plans, adapted to their institution products and conduct maturity.
What's Included in this Workshop for Your Enterprise Teams
- 1
Tailored sessions
Content shaped around your products, systems, and conduct risks.
- 2
Guided labs
Hands-on exercises on licences, programmes, and monitoring.
- 3
Expert trainers
Practitioners with financial conduct compliance experience.
- 4
Capstone review
A simulated FMA conduct review closes the program.
- 5
Audit-ready pack
Checklists, templates, and evidence formats included.
- Instructor-led delivery in hybrid, onsite, or live virtual formats
- Scheduling aligned to your regulatory calendar and team availability
- Dedicated training advisor from scoping to post-program support
- Pre-program skills assessment to calibrate session depth
- Digital course materials, checklists, and monitoring templates
- Post-training support for applying the conduct checklists
Build your team's skills. Anywhere in the world.
Real-world use cases
from day one
Instructor-led training
for your teams
Delivered globally
in 100+ countries
Enterprise Training Solutions Customized for Your Company
One partner for instructor-led corporate training, delivered the way your teams work.
Request a Training Quote- Customized Training Delivery
- Scale Your Training: Small to Large Teams
- In-person Onsite, Live Virtual or Hybrid Training Modes
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- Hands-On Labs on Live Infrastructure, Led by Industry Experts
NZ Financial Markets Conduct and CoFI Compliance Course Topics and Program Outline
This six-module, 24-hour program is a Workshop built around guided labs. Each Session moves from conduct foundations to advanced application: licence readiness and programme design become hands-on labs, and a simulated FMA conduct review closes the program.
Built by Edstellar with conduct compliance expertise
Built by practitioners who run financial conduct compliance programmes in production, shaped around your stack and use cases.
We assess your team's grasp of CoFI conduct duties, mapping products, processes, and evidence gaps before the program starts.
Instructor sessions build the CoFI framework: regime scope, FMA licensing, the fair conduct principle, and regulator expectations.
Guided labs turn conduct duties into practice: licence evidence, programme drafts, risk registers, and monitoring dashboards.
Teams run a simulated FMA conduct review, auditing a fair conduct programme and presenting a regulator-ready evidence pack.
Built for 24 hours of hands-on application: every CoFI concept is drilled in labs and a full capstone conduct review.
Delivered as
The program runs hybrid by default: instructor-led sessions with live virtual labs, or onsite, or fully remote over Zoom or Teams. Every format covers the same 24 hours, labs, and capstone.
Teams map the CoFI obligations to their own institution type and flag which conduct licences and duties apply.
learna)The FMC Act conduct amendments and scope
b)Institutions in scope: banks, insurers, deposit takers
c)The fair conduct principle and consumer outcomes
d)The FMA's role as conduct regulator
Teams review a sample licence application checklist and identify missing evidence across standard conditions.
learna)Conduct licence classes and eligibility
b)Standard conditions and ongoing obligations
c)Readiness checks for licence applications
d)Records, reporting, and notification duties
Teams draft a fair conduct programme outline covering governance, product design, incentives, and monitoring.
practicea)Fair conduct programme structure and governance
b)Product design, distribution, and target markets
c)Incentives, remuneration, and conflict management
d)Complaint handling within the programme
e)Monitoring and assurance of fair conduct outcomes
Teams build a conduct risk register and management information dashboard from a realistic customer-lifecycle case.
practicea)Identifying and rating conduct risk
b)Control design across the customer lifecycle
c)Management information and conduct dashboards
d)Breach detection, escalation, and notifications
Teams work a live complaints scenario from intake and root cause analysis through to a remediation plan.
practicea)Advice and product disclosure obligations
b)Complaint handling end to end
c)Root cause analysis of complaint themes
d)Customer remediation programmes
e)Records and evidence regulators expect
Teams complete a full simulated FMA conduct review: audit the programme, assemble the evidence pack, and present remediation plans to a regulator panel.
applya)Programme audit against FMA expectations
b)Assembling the licence evidence pack
c)Monitoring data and assurance findings
d)Remediation plans and board reporting
Customize this program tailored to your team?
Tell us your training needs: what your team already works with, the level they’re at, and the topics you want them to focus on. We’ll adjust the modules, duration and hands-on labs, and send you a customized outline for your group.
Key Skills and Outcomes Your Team Will Gain
Teams leave with the competency to run CoFI conduct compliance day to day: from licence applications and fair conduct programmes to monitoring, complaints, and regulator-ready audits.
Apply the CoFI fair conduct duty
Interpret the fair conduct principle and apply CoFI duties to your institution's products, staff, and customer interactions.
Ready FMA licence evidence
Assemble licence readiness evidence across standard conditions: records, controls, monitoring data, and reporting packs.
Design fair conduct programmes
Draft programme structure covering governance, product design, incentives, complaints, and fair conduct monitoring.
Monitor conduct risk and controls
Rate conduct risk, design controls across the customer lifecycle, and build management information that flags issues early.
Handle complaints and remediation
Run complaints end to end, analyse root causes, and design customer remediation programmes regulators respect.
Meet disclosure obligations
Apply advice and product disclosure duties so customers receive clear, fair information at every decision point.
Run conduct audits
Audit fair conduct programmes and present regulator-ready findings with evidence-backed remediation plans.
Teams that Benefit from this NZ Financial Markets Conduct and CoFI Compliance Group Training
This program is built for the teams that carry CoFI conduct compliance: compliance, legal, risk, audit, and customer operations. Each cohort works on its own products, systems, and conduct scenarios, so content adapts to every role and experience level and each team practices the workflows it owns.
Fair conduct programmes that pass regulatory scrutiny
Compliance teams learn to design, run, and evidence fair conduct programmes that meet FMA expectations.
Workflow friction
- Scattered conduct evidence across systems
- Inconsistent monitoring of customer outcomes
- Licence evidence gaps found too late
How the program helps
- Draft programme structure and governance
- Build conduct monitoring and MI
- Evidence licence readiness for the FMA
Practice use cases
- Programme design
- Licence readiness
- Conduct monitoring
- Breach reporting
Confident handling of conduct obligations
Legal and regulatory teams learn to interpret CoFI duties and turn them into workable internal standards.
Workflow friction
- Ambiguous conduct duty interpretation
- Policy wording that invites disputes
- Slow sign-off on conduct changes
How the program helps
- Interpret fair conduct obligations
- Set conduct policy and standards
- Review disclosure and advice documents
Practice use cases
- Duty interpretation
- Policy drafting
- Disclosure review
Assurance over conduct controls
Audit teams learn to test fair conduct programmes and report assurance the board can rely on.
Workflow friction
- Controls that look good but fail in practice
- Limited conduct testing methods
- Findings without clear remediation
How the program helps
- Test conduct control effectiveness
- Audit fair conduct programmes
- Report findings to the board
Practice use cases
- Control testing
- Programme audits
- Board reporting
Complaints handled to regulator standard
Customer teams learn complaint handling, root cause analysis, and remediation that satisfy the FMA.
Workflow friction
- Backlogs and missed response deadlines
- Repeat complaints on the same issues
- Thin remediation evidence trails
How the program helps
- Run complaints to FMA standard
- Analyse root causes of themes
- Design remediation programmes
Practice use cases
- Complaint handling
- Root cause analysis
- Remediation design
Mixed cohorts are welcome: shared sessions align everyone while labs split by team function.
Prerequisites: This program suits compliance, legal, risk, and audit professionals in New Zealand financial institutions. Familiarity with your products and conduct controls helps, but no prior CoFI experience is required. Every cohort's labs adapt to its own systems and customer scenarios, so each team practices the workflows it owns.
Compliance Analyst to Conduct Assurance Lead
Skills progress from interpreting CoFI duties to running regulator-ready audits, with entry and exit levels matched to the program's modules.
One program grows with conduct compliance careers, from CoFI basics to confident audit practice.
Mixed cohort, or several teams at once?
We can tailor the training to different teams, roles, and experience levels within the same program.
Certificate of Training Completion.
On successful completion, employees receive an Edstellar course completion certificate, recognizing their commitment to ongoing learning and professional development. It validates the skills they have built and motivates them to keep growing and contribute to organizational success.
Earned, not attended. Awarded on completion of all hands-on labs and the capstone project.
Training Delivery Modes: Virtual, Onsite and Hybrid
This is a hybrid-first program: instructor-led throughout, delivered in the format that fits your team's locations and regulatory calendar.
Hybrid Training
The default format: core concepts in focused sessions, guided labs in live virtual breakout rooms, and a capstone conduct review the team completes together.
- Instructor-led sessions across all 24 hours
- Live virtual labs with instructor troubleshooting
- Onsite kickoff and capstone where it helps
- One schedule across time zones and offices
Onsite Training
The full program at your office: team-based labs, group conduct reviews, and a capstone run as a collaborative exercise.
- All 24 hours delivered at your location
- Team-based labs with on-the-spot coaching
- Capstone as a collaborative group exercise
- In-person access to your trainer
Live Virtual Training
The full program delivered live online: instructor-led sessions, virtual breakout labs, and a remote capstone review.
- All 24 hours instructor-led live online
- Breakout labs with instructor support
- Virtual capstone review and feedback
- Delivered over Zoom or Teams
Need a training format that works for your team?
Full days, half days across weeks, or split by module. Tell us the delivery window and we schedule the cohort around it.
Frequently Asked Questions
Share your team size, locations, and preferred dates through the request form. We respond within one business day with a tailored quote and schedule options.
Yes. A short discovery call helps us understand your CoFI readiness, tailor the modules, and confirm the right trainer for your cohort.
Yes. Every format is instructor-led, including live virtual delivery with breakout labs over Zoom or Teams.
Yes. Onsite delivery runs all 24 hours at your location, with team-based labs and a collaborative capstone review.
The program is 24 hours. We can schedule it as consecutive days or split it across weeks to suit your team's calendar.
Question not answered here?
Put it in the request. A training specialist answers it directly, within one business day.
Where this Training Fits in Your Team's learning path.
New Zealand's Financial Markets Conduct Act and the CoFI regime set conduct rules for financial firms. Your team frames enterprise risk and conduct risk first. This course covers FMC and CoFI duties, and the last step moves into operational resilience.
Why Choose Edstellar as Your NZ Financial Markets Conduct and CoFI Compliance Corporate Training Provider
Edstellar is a global corporate training partner for governance, risk, and compliance teams: tailored programs, expert trainers, and measurable outcomes.
EXPERT TRAINERS
YEARS DELIVERING
ORGANIZATIONS TRAINED
CERTIFIED
Tailored
Sessions and labs are shaped around your products, systems, and conduct risks, so teams practice the workflows they own.
Proven Methodology
A diagnose, standardize, practice, measure, and scale model moves teams from CoFI basics to regulator-ready audit practice.
Practice-Based Learning
Guided labs on licence readiness, programme design, and conduct monitoring turn regulatory duties into working skills.
Expert Trainers
Instructors are practitioners with financial conduct compliance experience, matched to your team's needs before booking.
Global Scale
Programs run across time zones and offices, with consistent materials, trainers, and reporting for every cohort.
Measurable Outcomes
Scored labs and the capstone audit track competency, giving you clear evidence of conduct capability built.
Develop CoFI Conduct Reviews With Clear Customer and Control Evidence
Edstellar connects the CoFI topics in the curriculum with practical conduct-program design and assessment. Participants map obligations, review licensing evidence, and build risk and monitoring records before investigating complaints. The final simulated review is assessed for supported findings, coherent governance, and a remediation approach linked to customer-lifecycle evidence.
- Step 01
Consult
We explore financial-product and conduct responsibilities to identify gaps in CoFI scope, licensing evidence, fair conduct design, monitoring, and complaint-led remediation.
- Step 02
Plan
We establish regime foundations and licensing concepts before fair conduct programs, then develop risk monitoring and complaints analysis ahead of the simulated readiness review.
- Step 03
Align
We align New Zealand conduct-risk expertise with compliance, legal, risk, and audit teams, framing exercises around the products, customer journeys, and controls participants oversee.
- Step 04
Customize
Fictional institution profiles, licensing checklists, and complaints reflect relevant customer-lifecycle risks, enabling tailored governance and remediation practice without exposing actual customer files or regulatory submissions.
- Step 05
Execute
Participants draft program outlines, build conduct registers, interpret monitoring information, and investigate complaints, receiving feedback on control evidence, root-cause reasoning, and proposed remediation.
- Step 06
Evaluate
We assess the conduct review for explicit applicability assumptions, traceable program controls, supported complaint findings, and a remediation plan that addresses the evidenced customer risks.
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Start an RFP shaped to your needs.
Answer three quick questions about team size, scope, and how often you need the program run, then send the request from the last step. Everything you choose travels with it, so you only fill this in once.
How many team members need training?
NZ Financial Markets Conduct & CoFI Compliance Training Training Packages & Pricing
Where L&D holds an annual budget, license packages price the whole year at once instead of raising a purchase order per workshop. Hours and licenses are pooled across teams, programs and locations, so unused capacity is not stranded in one department.
Starter
120
trainee licenses64 hours of group training
Tailored for SMBs
Growth
320
trainee licenses160 hours of group training
Ideal for growing SMBs
Enterprise
800
trainee licenses400 hours of group training
Designed for large corporations
Custom
Unlimited
trainee licensesDuration set by the rollout
Multi-region and multi-year
Training Packages & Pricing
Choose the training format that works for your team. Pricing is customized based on your requirements, cohort size, and delivery needs.
Request NZ Financial Markets Conduct and CoFI Compliance Training for Your Team
Tell us about your team size, locations, and CoFI compliance goals. We reply with a quote, a discovery call to shape your tailored training plan, and confirmation of instructor availability.