- Draft a simple compliance policy
- Know which regulators supervise the business
- Understand the role of the regulators and how they impact on the business
- Identify the compliance obligations and what legislation applies to the business
- Draft a basic compliance universe/ risk register
- Assess/rate the compliance risks in order to focus on the important ones.
Who should register?
Financial planners, financial advisors
6 CPD points on completion of the course and successful pass of the final assessment.
The course is accredited by the Compliance Institute of South Africa and thus qualifies as a verifiable CPD activity towards the accumulation of CPD hours as required by the FSCA.