Compli-Serve 2009 Compliance Report Seminars.
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Who are Compli-Serve and what do we offer?

  • Offers professional support and services to financial professionals thus enabling businesses to meet the increasing challenges 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 ranges from the coaching and support of in house compliance personnel through to a fully outsourced compliance service and many other related value added services.

 

 
 
 

 
 
 
 
 
 
 
 

 

 

June 2009: A NEWS SERVICE FOR ALL THOSE SERIOUS ABOUT COMPLIANCE-SA’s only dedicated compliance news and information portal serving the whole SA Financial Services Industry
2009 Compliance Report for Category 1: Authorised FSP with a compliance officer
Latest News
[Subscribers only]

3 July 2009: Tannenbaum task force finds R2bn  [3-Jul-2009]
3 July 2009: Judge tells Brown to surrender his keys  [3-Jul-2009]
3 July 2009: FSA warns advisers to get started on meeting RDR requirements  [3-Jul-2009]
3 July 2009: ENFORCEMENT- FSA fines director for appointed representative control failings  [3-Jul-2009]
3 July 2009: Sars tackles tax non-compliance  [2-Jul-2009]
More LATEST NEWS click here
Re FSB Enforcement actions- How should the regulator handle outstanding regulatory filings?
Give an adequate and fair warning before fines are imposed
FSB should just fine all FSP's with outstanding returns- all should be aware of FAIS by now
FSB should actually intensify FSP reporting to be more frequent than once a year!
No easy answers here

View Poll Results
In recent determinations the FAIS Ombud has taken a tough stance on businesses that misrepresent their compliance and legal status. Do you still encounter service providers that fraudulently claim to be authorised financial services providers?
Yes
No
Not sure

View Poll Results