To help you manage your business's regulatory risk - not just train your people on it.
The financial services industry has become increasingly regulated, with a growing set of legislative requirements that financial services providers (FSPs) are expected to meet. Alongside our training programmes, we assist independent financial advisers (IFAs) and corporate FSPs to anticipate and meet these regulatory requirements - so the goal isn't just compliance on paper, but a practice that stays compliant and continues to prosper.
Our approach combines the training expertise we've built since 2012 with hands-on compliance support, so clients aren't just told what the FAIS Act, BN194 and FICA require of them - they have a partner helping them meet it in practice, and stay ahead of regulatory change as it happens.
Find out how we assist FSPs with compliance:
Hands-on assistance with FICA/AML compliance: risk management and compliance programme (RMCP) support, implementation, ongoing monitoring and FIC inspection preparation.
MoreWe support representatives and Key Individuals in staying on track with amended Fit & Proper requirements, from qualifications to CPD hours.
MoreOngoing monitoring, reporting and liaison with the FSCA on your behalf, so you can focus on running your business.
MoreWhether you want a fully outsourced Compliance Officer, or the tools to self-comply with support on hand, we have an option built for you.
We act as your appointed Compliance Officer.
For FSPs who don't require a dedicated Compliance Officer.
Tell us about your business and we'll recommend the right level of support.