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.
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
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 Services Board, 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.
B Prepared Brokers
World Focus 1385 CC
Retirement Wellness SA
Posted on 23 August 2018
Independent financial advisors (IFAs) need to be fully committed to their businesses and not just involved, if they want to succeed in the increasingly regulated environment of the future, Ian Middleton, MD of Masthead, told more than 1 000 IFAs at the recent Masthead Masterclass ...
Posted on 26 July 2018
The FSCA published a discussion document on investment related matters in June 2018 and has asked industry for input in response to their thinking ...
Posted on 1 February 2018
It has long been a requirement that FSPs, KIs and Reps must meet fit and proper requirements, specifically relating to honesty and integrity. This is over and above the requirements relating to competence, operational ability, and financial soundness. However, in terms of ...
Posted on 13 October 2016
Not a month goes by when I don’t receive an SMS from a financial services provider (FSP) marketing its products to me. All of these messages give one the option of SMSing the word “STOP” or “NO” to opt out of receiving more messages. But who pays for that SMS? ...
FIC - 2 March 2020
FIC - 2 March 2020
FIC - 28 February 2020
FIC - 27 February 2020