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As a FSCA approved external compliance practice, we offer a full range of services for our clients from FSP registration start to finish, all compliance matters, meeting regulations and ensuring our clients remain compliant.

Navigate the compliance maze

We know that compliance can be a bit overwhelming and even confusing. Having been in the industry for many years with highly qualified staff, we can HELP you become and stay compliant.

Compliance for your budget

The external compliance officer does not need to break the bank. We know many smaller FSP's cannot afford the high costs of larger external compliance companies. 


Try us you will see how affordable the compliance function can be.

Information is power

There is always a need know what is happening in the industry. 


We can HELP you keep ahead of any and up and coming regulations so we can HELP with implementation before it becomes an issue.

Compliance for Legal Practitioners

One of the amendments in the FIC Act impacts Legal Practitioners. “A person who is admitted and enrolled to practice as a Legal Practitioner as contemplated in section 24(1) of the Legal Practice Act is now regarded as an accountable institution.

 

Speak to us to see how we can assist you to comply with the latest amendments.

With our external copliance functions, LET US HELP YOU BECOME AND STAY COMPLIANT.

compliance Monitoring Services

Our HELP focused work methodologies leave our FSP clients with more time to do what they do best... Doing Business.

FSCA, FAIS, POPIA, PAIA & FIC required ongoing compliance monitoring services:

On site..... Bi Annual, Monthly for CAT II FSPs or quarterly for CAT I FSP's

Regulated by HELP-based Service Level Agreement

Driven by a clear audit program

Ongoing interaction with FSCA on behalf of FSP client:

Permitted Profile changes, etc

Submit annual / bi-annual reports.

Submit regulatory returns, etc

Regular reports to FSP management regarding:

Non-compliance issues [if any].

Changes in regulatory requirements

COFI Bill becoming an Act and replacing the FAIS ACT.

New Conduct of Business report

Changes to regulatory universe: possible changes in 2022


Compliance Value-adding Services

We offer our clients a range of Value-adding services that should translate into bottom-line results

Free Consultation

Client pre-take-on: We perform an up front one day on-site "Fact Find".

Identify any compliance related areas to be fixed.

Fact Find report is a management tool to mitigate "unintentional non-compliance"


Compliance related management support services

We HELP management of our FSP clients to become and stay compliant... The HOW.

Compliance "Golden Bullets"

To mitigate / prevent "unintentional" non-compliance

Are you Compliant to your applicable Regulatory Universe [FAIS, FICA, POPIA, PAIA, Risk Management, etc]?


Our one day "fact find" will determine your Compliance status.. at no cost [part of Client pre-take-on process].

Are you at risk of "unintentional" non-compliance?


"Unintentional" non-compliance is a primary risk factor not contemplated by many FSP's... Our "Fact Find" will HELP to reveal compliance gaps.

Do you need Compliance related Management support?


We can HELP FSP's to discharge some of their compliance responsibilities but not accountability ...giving them more time to do business.

Do employees create or mitigate non-compliance risk?


What FSP Advisors do OR don't do can create or mitigate non-compliance risk...we apply a "File Audit" methodology to confirm compliance.

Compliance Cost... Cost vs. Value?

  • Our philosophy is that Compliance cost should NOT be a "grudge" payment... Our value-adding service offerings translate into bottom line results!
  • There is a big gap between HELP & Advice.. we don't give advice.. our competitors do.
  • Informative
  • Keeping our clients up to date with all the latest regulations will ensure that they stay compliant.
  • We take the headaches out of trying to keep up with all the latest regulations, government gazettes and news in the FAIS, FICA and FSCA worlds.
  • We provide all our clients with an easy to read breakdown of any changes to the Acts or regulations and helping you to make any changes quickly and effectively.

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REGSERV - Your Compliance Partner

Adding true value to the external compliance function for the FSP and Intermediary. Call us now for your Free consultation.