Compliance Solutions Overview

Explore our comprehensive compliance services tailored for financial service providers to ensure regulatory adherence.

Comprehensive Compliance Services

At FSPComply, we offer a wide range of compliance services to ensure that your financial services business stays ahead of regulatory requirements. Our solutions are tailored to your specific needs, providing peace of mind that all aspects of your compliance are in order.

Our Services Include but are not limited to:

  • Develop Tailored Compliance Risk Management Strategies – We design compliance strategies specific to your business, focusing on risk management to safeguard your operations.

  • Liaise with Regulatory Authorities – We act as the primary point of contact for regulatory authorities, addressing inquiries and facilitating inspections.

  • Create Essential Compliance Documents – We provide all the necessary compliance documents and templates to ensure your business remains fully compliant.

  • Conduct Regular Service Reviews – We perform ongoing service reviews to ensure your business remains compliant and up to date with regulatory requirements.

  • Submission of Annual Financial Statements – We oversee the electronic submission of your annual financial statements through the appropriate channels, ensuring compliance with deadlines.

  • Fit and Proper Assessment for Representative Recruitment – We ensure all new recruits meet the necessary regulatory standards through a comprehensive fit and proper assessment.

  • Representative Changes – We assist with the addition or removal of representatives, ensuring compliance with FSCA regulations.

  • Bespoke Risk Management Plans – We provide custom risk management solutions that align with your business’s specific needs and challenges.

  • Monitor Branches and Representatives Nationwide – We continuously monitor your branches and representatives, ensuring nationwide compliance.

  • Provide Independent and Objective Compliance Services – We offer impartial and professional compliance support to ensure your business meets all requirements.

  • Maintain Detailed Records – We ensure accurate record-keeping to help you maintain a comprehensive and compliant business.

  • File Auditing and Sampling – We conduct thorough file auditing and sampling to ensure your business is consistently adhering to regulatory standards.

  • Dependable Compliance Reports – We provide dependable and clear compliance reports, offering transparency on your compliance status and ensuring all necessary regulations are met.

  • On-Demand Compliance Support – We offer flexible, on-demand support for urgent matters or specific queries, ensuring you get prompt and reliable assistance whenever you need it.

  • Offer Industry Updates via Newsletters and Technical Emails – We keep you informed of regulatory changes and industry trends by sending regular newsletters and technical updates.

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Ad Hoc Compliance & HR Services

Compliance Services

  • Staff Training & Awareness Programmes – Educate employees on compliance requirements, industry regulations, and best practices.

  • CIPC Registration for New Companies – Assist with the legal registration process for new businesses with the Companies and Intellectual Property Commission (CIPC).

  • Outsourced External Audit – Conduct independent audits to assess compliance with financial and regulatory requirements.

  • Regulatory Compliance Assessments – One-time evaluations to ensure your business meets legal and industry standards.

  • Drafting & Reviewing Policies & Procedures – Create or update company policies to align with current regulations.

  • Risk Assessments & Gap Analysis – Identify compliance gaps and provide strategic recommendations for improvement.

  • Assistance with Regulatory Inspections – Provide support during on-site or virtual inspections by regulatory authorities.

  • Data Protection & POPIA Compliance – Ensure compliance with South Africa’s data privacy laws and assist with data protection policies.

  • License & Business Structuring Advisory – Guidance on structuring businesses for compliance with relevant financial regulations.

  • On-Demand Compliance Support – Provide expert advice on specific compliance matters as they arise.

  • File Auditing & Sampling – Conduct document reviews to ensure compliance with regulatory requirements.

  • Policy Auditing – Review internal policies for effectiveness and compliance with industry standards.

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HR Services

  • Recruitment & Onboarding Compliance – Conduct Fit and Proper Assessments, background checks, and FAIS compliance checks.

  • Employment Contract Drafting – Develop legally compliant employment contracts tailored to industry regulations.

Soft Skills Courses

  • Leadership & Management Training – Develop strong leadership skills for effective team and business management.

  • Effective Communication & Conflict Resolution – Enhance workplace communication and conflict-handling techniques.

  • Time Management & Productivity – Improve efficiency and organisational skills for better performance.

  • Customer Service Excellence – Train teams to provide exceptional client service and engagement.

  • Emotional Intelligence & Workplace Etiquette – Foster a positive and professional work environment.

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Connect

Your compliance partner for financial service providers.

Support

info@fspcomply.com

+2775 3793 566

© 2025. All rights reserved.

FSPCOMPLY (PTY) LTD registration number 2025 /109133/07 is an authorised external compliance practice, approved by the Financial Sector Conduct Authority (Practice No. 8062).