Compliance Practice & Legislation



This course covers the evolution of legislation and how this results in the development of compliance processes.
Key course content includes the legal system in South Africa, the need for compliance and the stakeholders within the regulatory environment


Focus Area:

  • Explain the background to, and the need for, compliance
  • Explain the philosophy and objectives of regulation
  • Define what is meant by regulatory requirements
  • Explain the importance of staying abreast of international trends in the regulatory environment
  •  Identify the stakeholders within the regulatory environment
  • Explain the role of each stakeholder in the regulatory environment
  • Explain the role of a regulator
  • Discuss how regulators impact on business
  • Discuss the basic principles, terminology and approaches common to the interpretation of statute and how to apply them correctly

Who should register?
Financial planners, financial advisors, compliance officers

CPD information

6 CPD points on completion of course and successful pass of 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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