• Implement and maintain policies and procedures for Category I and/or Category IV FSP’s 
  
  
• Quarterly compliance monitoring visits 
  
  
• Risk Management Planning  
  
  
• Disaster Planning 
  
  
• Assistance with FICA obligations 
  
  
• Assistance with FAIS Ombud cases 
  
  
• FAIS Training for representatives 
  
  
• Comprehensive library of FAIS document/templates 
  
  
• Assist FSP’s to confidently meet internal and external compliance requirements and standards 
  
  
• Provide resources and guidelines to help create and maintain a successful compliance program 
  
  
• Tools to manage operational ability 
  
  
• Educate FSP’s on how to identify and appoint FAIS compliant representatives 
  
  
• Integrate governance, risk management and compliance processes 
  
  
• Empower the FSP’s decision makers with quarterly reports and updates 
  
  
• Assistance with: 
  

Profile Change

Variation of Products

FSB applications

Representative Registers