Preparation For An FSCA Visit – What To Expect

Seminar Information

We will take actual Risk Mitigation Plans and walk you through the risks identified by FSCA, and provide suggestions on how to manage, reduce or eliminate the risks in your business.

Why you should attend:

If FSCA schedules an onsite visit you want to be adequately prepared. This seminar will help you:

  • Understand the FSCA onsite visit selection process and the information they require from your business.
  • Prepare for the possible questions that could be asked during the onsite visit.
  • Identify possible challenges your business is facing and compile a risk mitigation plan.

By attending this seminar, you will:

  • Know what to expect from an FSCA onsite visit.
  • Be able to draw up a risk mitigation plan addressing the challenges in your business.
  • Be able to explain the business documents, plans and processes required by FSCA.
  • Have an in-depth understanding of the areas that will be focussed on during the visit.

CPD hours:

  • FSPs, Key Individuals and Representatives who attend this seminar will earn 3 CPD points towards maintaining their competence requirements.
  • FPI members will earn 2 CPD points in the Event Participation (Knowledge) category and 1 CPD point in the Ethics and Practice Standards category.

Cost for members: Free
Cost for non-members: R 850,00 (incl VAT)


Who should attend

Key personnel of Financial Service Providers including; Key Individuals, business owners, Representatives and compliance personnel.

How will attendees benefit

Attend this seminar and walk away with a clear understanding of what to expect in the event of an FSCA onsite visit and feel prepared and confident before, during and after your audit.

What attendees had to say about this seminar

“Thank you for the training you put together, I found your content and presentation really worthwhile.”

Norman Ehlers | Prestige Wealth Management

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

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