Home2018-09-18T14:45:20+00:00

WELCOME TO COMPLI-SERVE

Who are Compli-Serve and what do we offer?

  • We offer professional support and services to financial professionals, thus enabling businesses to meet the increasing challenge of regulatory compliance risk in today’s environment.

  • We focus on the needs and requirements of both large and small retail financial service companies.

  • Whatever the size of your business we offer efficient, cost effective services and solutions, backed by experienced and professional staff.

  • Our wide range of services range from the coaching and support of in-house compliance personnel through to a fully outsourced compliance service and many other related value-added services.

COMPLI-SERVE EVENTS

  1. RDR Update

    24 October 2018 @ 8:30 am - 12:30 pm in Cape Town
    More info
    RSVP
  2. RDR Update

    30 October 2018 @ 8:30 am - 12:30 pm in Gauteng
    More info
    RSVP

NEW! Class of Business training

We are pleased to advise that Compli-Serve has now concluded a strategic partnership with the Milpark School of Training for the purposes of supplying Class of Business training, which is now a requirement for a new entrant into the industry, as a result of changed regulations by BN194 earlier in the year.

We can confirm that the Milpark offering covers all nine classes and the related subclasses (see attached fact sheet) , and can be accessed via online means or classroom on request, should sufficient numbers be achieved. We have negotiated a 5% discount on the ruling market price for Compli-Serve clients which equates to a fee of R237.50 per business class, which is a very competitive price in the marketplace.

For those clients that have individuals that need to undertake Class of Business training, we would ask that you complete the attached application form and email it to cob@milpark.co.za directly and copy your compliance officer. Please make sure that you specify that you are a client of Compli-Serve in order to obtain the discounted rate as above.

Factsheet
Application Form

Compli-Quote

The global regulatory landscape is undergoing a fundamental change.

In the years since the 2007/08 financial crisis, regulators across the globe have focused on a programme of more robust supervision of financial services firms. Meanwhile, a raft of initiatives have been introduced to bolster the regulatory framework.

Regulators have committed to a more intensive and intrusive supervisory approach to monitor the risk that certain transactions, processes and people create, with the twin aim of improving transparency in markets and products.

Source: Thomson Reuters

Compli-Tip

Top 3 Tips for 2018

Get professional advice
It never ceases to amaze me that Financial Service Providers pay good money for lawyers and accountants and then head for the bargain basement for a compliance officer to guide them on regulatory compliance.Compliance is a profession and you should seek out a professional for advice. Most professional compliance officersare members of the Compliance Institute of South Africa.This should be one of your first ports of call when you are looking for compliance professionals to assist you in managing regulatory risks.

Get to know RDR
Stakeholders in the financialservices industry find time to understand the proposals set forth by the Financial Services Board (FSB). You should also try and stay up to-speed with subsequent updates issued by the Regulator giving more detailon how they are thinking in respect of their initial 55 proposals.

TCF has not gone away
Some people seem to feel  that with the advent of RDR, the Treating Customers Fairly (TCF) programme has gone into the background and will likely not really feature going forward. This is a tragic error on their part as TCF is not simply one piece of legislation or a vague setof guidelines or principles; it is an overarching conduct structure of which the retail distribution is a key component.

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