Services.
We provide support to organisations that require assistance in dealing with various regulatory bodies and government institutions. These include specific licensing applications as well as statutory returns and business profile changes that allow organisations to continue operating with the necessary authorisation. Here are some of the specific functions we perform:
- Regulatory Licensing & Application Support
- Statutory Returns & Compliance Filing
- Profile Changes & License Updates
- General Awareness & Risk Training
- Regulatory Updates & Industry Advisories
We provide comprehensive staff training solutions designed to meet both your general awareness needs and specific legislative requirements. Our expert-led sessions are available in two flexible formats: convenient online modules that allow staff to learn at their own pace, and interactive on-site workshops delivered directly at your premises. Ensure your team is fully equipped with the necessary knowledge to maintain compliance and mitigate risks. We can provide training on the following aspects:
- An overview of the anti-money laundering legislation
- An overview of the advisory and intermediary services legislation
- Topic specific FAIS training & assessments
- Topic specific FUCA training & assessments
03 - Authorised External
Compliance Monitoring
Navigating the complexities of regulatory compliance can be demanding. Our compliance monitoring service is designed to lift this burden, giving you the peace of mind to focus on your business. We act as your dedicated compliance partner, providing continuous oversight and support to ensure your business activities meet the stringent requirements of legislation. Let us help you maintain your license, manage your risk, and build a sustainable, compliant business through the following functions:
- Annual Practice Assessments
- Internal Document & Client File Sampling
- Management Reporting & Consultations
- Access to Compliance Manuals & Policies
- Regulatory Guidance, Training and Awareness
04 - Regulatory Risk
Management and Consulting
In today's dynamic business environment, proactively managing risk is fundamental to sustainable growth and resilience. We provide expert consultations to organisations seeking to design and implement effective risk management measures. We partner with you to identify, assess, and mitigate risks across your business practices, helping you develop a robust framework that safeguards your assets, ensures business continuity, and empowers informed strategic decision-making. Here are some of the ways in which we help our clients manage regulatory risk:
- Development of an internal compliance function
- Implementation of risk mitigation systems & controls
- Research on industry-specific risk management best practices
- Review and improvement of existing control measures
- Gap analysis of current compliance frameworks