Posted on 1 Sep 2015
Category II and IIA financial services providers (FSPs) are required to submit Bi-Annual Compliance Reports to the Financial Services Board (FSB). The bi-annual reporting period ended on 30 June 2015 and the Bi-Annual Compliance Report must be submitted to the FSB on or before 31 August 2015. In the case where an FSP is authorised … Continued
Posted on 1 Sep 2015
In order for a financial institution to become POPI compliant it will not be a once-off project; but will require continuous activity and ongoing commitment. It must be mandated from the Board (or equivalent), implemented by senior management and supported by all levels of management and risk owners in order for it to be sustainable. … Continued
Posted on 1 Sep 2015
In terms of the FAIS Act, all financial services providers (FSPs) must submit their financials within four months of their year-end. Most independent financial advisors (IFAs) have February year-ends and must therefore submit these by the end of June each year. Many FSPs find it challenging to submit their financials within the time frame because … Continued
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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