A Practical Guide To Developing Your Own FICA Risk Management & Compliance Programme

Seminar Information

Have you implemented a FICA Risk Management and Compliance Programme to replace your FICA Internal Rules?

Although requirement came into effect in October 2017, accountable institutions have some time to fully develop and implement their own FICA RMCP. This must be in place by 2 April 2019. We will help you to customise an RMCP that is specific to your business.

What will be covered:

During this Seminar we will practically guide you in the development of a FICA Risk Management and Compliance Programme to ensure that you meet this requirement by the deadline date of 2 April 2019.  We will cover:

  • Governance
  • Implementation, Review & Accessibility
  • Registration
  • Regulatory Framework
  • A Risk Based Approach
  • Customer Due Diligence
  • Record Keeping
  • Reporting
  • Training

We will also provide you with examples of Questionnaires, Risk Rating methods and KYC Checklists.

CPD hours:

  • FSPs, Key Individuals and Representatives who attend this seminar will earn 6.5 CPD points towards maintaining their competence requirements.
  • FPI members will be able to earn 4 CPD points in the Ethics and Practice Standards category and 2.5 CPD points in the Knowledge category.

Cost for members: R850,00 (incl VAT)
Cost for non-members: R1 250,00 (incl VAT)

How will attendees benefit

You will benefit from this Seminar by ensuring that you make progress towards fully developing and implementing a FICA RMCP which is customised to your business and its risks.

Accredited by the Financial Planning Institute of Southern Africa (FPI)

MASTHEAD IS

A national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs). Established in 2004, we help our clients overcome their risk management challenges so they can grow and thrive in an increasingly regulated industry. Providing professional guidance and practical support, our team of specialists is passionately committed to delivering tangible solutions.

Why Masthead?

CONTACT US

Phone:

+27 21 686 3588

E-mail:

 info@masthead.co.za

B-BBEE CERTIFICATE

Masthead is a level 2 B-BBEE contributor.

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