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

Legal opinions on compliance related legislation
Legal opinions on Risk Management Issues
Due diligence reports on Compliance and Risk related issues

Business Administration Services

Business Practice management
Assessment of administrative processes
Maintenance of Adequate records
Administration/IT systems

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.