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Why compliance counts

Posted on February 13, 2018

Why compliance counts

Our regulatory environment has necessitated that each business unit has to re-evaluate how they do business and in particular how their supporters do business as part of their risk management. Not only must each representative of a Financial Services Provider satisfy the “fit and proper requirements”, they also have to conduct their business adhering to the FAIS Act, its regulations, the General Code of Conduct as Board Notices issued by the FSB.

Our Business philosophy to Compliance reaches far beyond the traditional views of an isolated FAIS and FICA Compliance Monitoring function to a more holistic Risk based approach which focuses on developing your Governance structure. This focus will intrinsically enhance the profitability of the businesses in which we work.

Not sure if you are ticking all the compliance boxes? 

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