INTERNAL DOCUMENTS
- Risk Management Planning
- Risk management policy
- Compliance Framework
- Disaster Recovery Planning
- Governance structure
- Business Continuity Planning
- Succession Planning
- Financial Recovery Planning
- Conflict of Interest Policy
- Advertisement Policy
- Disclosure documents
- Organograms
- Business plans
- Debarment Policy with Form and Manner of Debarment & Guidance note on Debarments
- Guideline of re-appointment of Debarred Representative
- Disciplinary Code and Procedure
INTERNAL REGISTERS/FORMS
- Competency Registers
- Representative Registers
- Gifts Registers
- Complaints Registers
- Incentive Registers
- Training Registers
- FICA Training Registers
- Debarment Registers
- Complaints form
- Debarment forms
- Fit & proper declaration
- Key Individual checklists
.
FICA (Financial Intelligence Centre Act
- FICA registrations
- FICA training
- Risk Management Compliance Programme
- Risk rating & client due diligence docs
OTHER SERVICES
- PI Cover facilitation
- Complaints handling
- Submission of annual financials
- New license applications
- License upgrades (additional categories)
- Submission of compliance reports
- Preparation for FSCA site inspections
- Profile changes
- DOFA requests
- Call center call monitoring
- Compliance awareness training
- General queries & advice
Regulatory updates & information
