Compli-Serve SA

10 Years in Compliance 2003 - 2013. Happy Birthday!

Compliance culture
“… it’s not enough to have policies. It’s not enough to have procedures. It’s not enough to have good intentions. All of these can help. But to be successful, compliance must be an embedded part of your firm’s culture.”

Source: The Culture of Compliance, Lori Richards, Director, Office of Compliance Inspections, 2003

Compli-Poll

Do you think there is merit in the FSB extending the regulatory exam deadlines for passing Re 1,3,4 and 5?

		Yes definitely
		No
		It doesn't bother me
	View Results

Compli-Tip

Beware the tick box approach to compliance

Some advisors feel that they can do no wrong if they present a Record of Advice in the client file, however one needs to understand that this record must actually be able to be entered into evidence i.e. it should be dated, ideally signed by the client and the advisor, and clearly lay out the needs and objectives, recommendations and motivation. If this is not the case, even if the document is looking good in the file, it is to all intents and purposes, useless.

Welcome to Compli-Serve South Africa

Who are Compli-Serve and what do we offer?

Offers 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.