National Compliance CC

KI Study Material

Download
KI Study Material

Investment Advisors FIC letter

Download
Investment Advisors FIC letter

Disaster Recovery Plan

Download
Disaster Recovery Plan

Short-Term Ombudsman

FAIS Circular5 Cat B1 & B2
OSTI Handbook Update
OSTI-News PPR
Policy Holder Protection Rules

Tags: FAIS, OSTI

Study Material Due Dates

The document previously published on the Inseta website now contains two dates: the one by which the developer of the material should deliver it to inseta, and the date by which they in turn should make it available on their website. Please check below and diarise accordingly. Please also add the following link to [...]

2009 Annual FSB FAIS Compliance Report

It is imperative that you make time available to allow our compliance officers to complete this important report with you in a timely manner. Our office will be calling to schedule an appointment with the key individual(s) shortly.

Tags: compliance report

FAIS - FAIS Compliance

and the risk of FAIS noncompliance…
Here is a recent article from Fin24.com:
Gerry Anderson, deputy registrar for financial services providers at the FSB, said at least 90% of the more than 1 000 financial services providers who were sent letters a month ago had not supplied the information required by the FSB in terms of their [...]

Tags: FAIS, FSP

Fit and Proper Requirements

The Determination of Fit and Proper Requirements for Financial Services Providers form an integral part of the FAIS Act and also the basis upon which a person can become licensed or act as a key individual or representative.
In order to become licensed or authorized as a key individual or registered as a representative and to [...]

Tags: FAIS, Fit and Proper Requirements, FSP

New website is launched!

National Compliance has recently launched their new website with added features and benefits for compliance service clients.
New Benefits:
Regular Newsletters and the latest industry information
Easy to use website
Updated and revised forms
New features:
Updated look and feel
Online Chat service
List of Contacts
Online application for services
National Compliance is focus on providing on-going compliance services and assist key individuals in financial [...]

Tags: FAIS