Compliance Services Summary

Compli-Serve SA has created affordable services that are intended to support and enable financial advisors and compliance officers.

The Compli-Serve Service offerings include:

Outsourced Compliance Service
For the business that takes the strategic decision to outsource the compliance function of the Financial Advisory & Intermediary Services Act 2002 and appoint an external compliance officer.

Compliance Consultancy Service
For the support and guidance of advisors undertaking their own compliance and internal compliance personnel. Clients are able to take advantage of the Compli-Serve consultancy knowledgebase and support infrastructure.

Knowledge Service
Compliance information portal updated on an ongoing basis with news, regulatory updates and analysis of the latest developments. Information is presented in an easy to understand and a searchable format.

License Assist
If you are looking to apply for regulatory authorisation we will help put the application together and submit it to the Financial Services Board on your behalf.

Complaints Support Service
Experienced compliance and legal professionals are able to advise and support the business in evaluating merits of the complaint and to assist with a resolution process.

CS Legal Services
Specialising in finance law we provide a wide range of legal services to our clients.

Who are our Clients?
Compli-Serve currently works with various organisations ranging from independent financial advisors, investment managers, accounting firms and auditors, motor dealers and call centres.

How do I contact Compli-Serve?
The above is intended as a summary only. To view our full range of service offerings in more detail please visit our website www.compliserve.co.za or call us 0861 273 783 / CSERVE or email info@compliserve.co.za.