Home-FAIS COMPLIANCE & LICENSING CC

Home-FAIS COMPLIANCE & LICENSING CC

FAIS COMPLIANCE & LICENSING CC


COMPLIANCE OFFICER SERVICES
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Offering external Compliance Services to Category 1 FSP's on all sub-financial products in terms of the FAIS Act 37 of 2002.

 
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POLICIES AND PROCEDURES
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Providing our FSP's with policies, processes and procedures to ensure compliance with FAIS, FICA, POPI and Insurance Acts. 

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NEW FSP LICENCE APPLICATION
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Providing assistance for new licence applications. We will compile and submit the application to the FSCA.

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THE NEED FOR
COMPLIANCE
OFFICERS
The ever-increasing demands of corporate governance, risk management and regulatory compliance have dramatically changed today's business environment.
Business models have evolved to meet the challenges of higher compliance standards with a specific focus on client fairness, transparency and accountability.
In terms of legislation, all authorised Financial Services Providers are required to develop, implement and maintain a comprehensive compliance framework. 
The essential elements of an effective compliance framework are leadership, risk assessment, internal standards, control procedures, training, communication and oversight.
To achieve this, FSP's have turned to Compliance Officers for guidance and assistance. Compliance Officers are no longer viewed as a legislative requirement but as a tool to achieve business excellence. 

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