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Consulting Services
Compli-Serve SA offers the retail financial services sector a professional consultancy service in the area of regulatory compliance. Our expert assessment and input can assist you in meeting and complying with various regulatory and related best practice regulations.
The company has the in house expertise to provide both the business analysis as required to enable you to implement and achieve cost effective pro-active compliance.
Typical consultancy projects could include the following:
- Analysis of current business structure.
- Risk Analysis of current structure.
- Construction of policy and procedure documents.
- Construction of appropriate monitoring regimes.
- Setting-up of reporting procedures.
- Mock inspection visits.
- Advice on the implementation of procedures relating to anti-money laundering.
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3 February 2012: MiFID II: A Regulator’s viewpoint- UK regulator speech
[3-Feb-2012]
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3 February 2012: Level 2 RE will only roll out as soon as the level 1 deadline is met-FSB
[3-Feb-2012]
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3 February 2012: Further notes on BN 193 of 2011
[3-Feb-2012]
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3 February 2012: FSB to tackle credit life insurance- PPI sales practices have come under much scrutiny in the UK
[3-Feb-2012]
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3 February 2012: Binder regulations; these were gazetted late in 2011 and have an effective date of 1/1/2012
[3-Feb-2012]
30 May 2011: A Compli-Serve SA Presentation- The 2011 FAIS Report
30 May 2011: FSB Presentation- New Developments Regarding Compliance Reports 2011
An edition of the CompliNEWS Newsletter-www.complinews.co.za
CompliNEWS Compliance portal- SA's premier compliance news service...
2011 Compliance Report- Category I Financial Services Provider
2011 Compliance Report- Category II Financial Services Providers
2011 Compliance Report- Category IIA Financial Services Providers