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.
Assistance with hands-on compliance, implementation, FIC Inspection preparation and training.
We support FSPs in staying on track with amended Fit and Proper requirements.
We will submit your application and deal with all queries.
Attend our regional compliance workshops.
A hands-on compliance officer to advise and implement regulatory requirements
Get to grips with the content of the RDR discussion paper.
Unpacking TCF for a customer-centric business
We can help you prepare for the RE 1 Exam and RE 5 Exam.
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.
Marietta du Preez
Consult Us Brokers
Westgro Financial Services
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