Independent Compliance Practitioners

• Act as appointed Compliance officers in terms of the Financial Advisory and Intermediary Services Act.(FAIS Act)
• Report to the Financial Services Provider(FSP) as Required in terms of the FAIS Act
• Report to the FSP on other related compliance aspects
• Report to the Financial Services Board annually or as required by legislation
• In-house training on FAIS, Advice Process and procedure
• Compliance Management System

Legal Services

We specialise in Financial Services Law with a particular emphasis on FAIS and FICA
We adopt a pragmatic business approach to our legal opinions
We have been selected as a preferred Legal Services Provider to clients of a well known large South African Asset Management Company.

Training

We offer in-house training to our clients on a regular basis to ensure awareness of changes to the law,its practical application and to run forums where we discuss topical issues in our industry e.g. practice management. We have been commissioned to conduct due diligence surveys on training providers in South Africa particularly those who offer on line training for preparation for regulatory exams.

Compliance Consulting

We assist larger companies internal compliance departments and Financial Service Providers who don't need to appoint compliance officers with all the intellectual capital and property and systems to assist them with their compliance obligations and act in an advisory capacity only.