Basic Compliance for your Practice



This course is designed to provide the learner with a better understanding of compliance risk management and to accept that compliance is rooted in the values of the business and is nothing more than good business practice.


Focus Area:

  • 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

CPD information
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.


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