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Experience & Hands-on Expertise

to help you manage your business risks


The financial services industry has become increasingly regulated over the years, resulting in a multitude of legislative requirements that financial services providers (FSPs) are required to meet. As a registered compliance company that interacts with the Financial Sector Conduct Authority (FSCA) on all industry matters, we assist independent financial advisors (IFAs) and larger FSPs to anticipate and meet these regulatory requirements. Focusing on process, quality and consistency, our goal is not only for our clients to attain full compliance and remain compliant into the future, but also to prosper.

This is achieved through our unique integrated risk management solution where we help clients focus on and improve in the fundamental areas of compliance and overall risk management. Running a successful and compliant business is therefore not just about excelling in one area of the business, but about the smooth integration and optimal running of key operational areas too.

Find out how we assist FSPs with compliance monitoring.

We also believe it is not regulation that will put financial advisors out of business, but rather the inability to adapt to change. Recognising this has shaped the way we deliver our services. We therefore don’t only look at current regulatory responsibilities (such as Treating Customers Fairly, FAIS and FICA), but also impending changes (such as the Retail Distribution Review) and provide practical assistance to ease financial advisors into the new regulatory world well ahead of time.


Ask us now. We'd love to hear from you.



This seal provides consumers with peace of mind, knowing that the accredited independent financial advisor (IFA) who displays this seal has been evaluated on the regulatory requirements set out by the Financial Sector Conduct Authority (FSCA), and has achieved an excellent standard of compliance.

Accreditation is re-evaluated every year and use of the seal is only renewed if the IFA maintains his/her high standard of compliance.

The seal provides consumers with a quick way to check if they are dealing with an IFA who conforms to regulatory requirements and, in this way, provides a level of assurance.


Decoding COFI: Omni-CBR 101 – What FSPs should know

Posted on 8 May 2024

Omni-CBR (Conduct of Business Return), the new off-site monitoring tool being introduced by the Financial Sector Conduct Authority (FSCA), will transform the way Financial Service Providers (FSPs) report and comply with regulatory standards. This article delves into the ...

Direct marketing and POPIA – What you need to know

Posted on 25 April 2024

Earlier this year, the Information Regulator issued its first enforcement notice concerning a direct marketing complaint, spotlighting compliance issues of these practices with the Protection of Personal Information Act (POPIA). Here is how you can stay on the right side ...

Decoding COFI: Helping our members prepare

Posted on 11 April 2024

Ensuring a smooth transition to the Conduct of Financial Institutions (COFI) Bill hinges on preparation. Here is how we’ve been helping our members navigate the forthcoming regulatory changes. The COFI Bill has sparked significant concern among independent financial advisors ...

Deadline: Liquidity Calculation Declaration

Posted on 19 March 2024

Category II, IIA and III FSPs required to maintain liquid assets and whose financial year end was 28 February 2024, are required to submit Form A: Liquidity Calculation (Annexure six of BN 194 of 2017) to the FSCA before 13 April 2024.

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FSCA Communication 13 of 2024: Submission of annual financial statements and other statutory returns by Financial

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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.

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