regulatory compliance across various financial services providers. From acting as the FAIS Compliance
regulatory compliance across various financial services providers. From acting as the FAIS Compliance
The role of a financial advisor is one that demands utmost professionalism, integrity and a customer-centric approach. An accredited financial advisor commands the respect and trust of those customers who are entrusting their and their families financial futures to them. The role calls for formal in
The role of a financial advisor is one that demands utmost professionalism, integrity and a customer-centric approach. An accredited financial advisor commands the respect and trust of those customers who are entrusting their and their families financial futures to them. The role calls for formal in
in the industry and market Regulatory Compliance Adhere to FAIS requirements and set company procedures
in the industry and market Regulatory Compliance Adhere to FAIS requirements and set company procedures
managers to discuss the non-compliances Compile regulatory reports (FAIS, FICA, etc.) Co-ordinate and
managers to discuss the non-compliances Compile regulatory reports (FAIS, FICA, etc.) Co-ordinate and
needed • Compliance monitoring: o Review of client advisory and investment implementation records (FAIS and
needed • Compliance monitoring: o Review of client advisory and investment implementation records (FAIS and