Our Services

Comprehensive Compliance Solutions tailored to your needs

Prime Solution Monitoring Program

Stay ahead of the curve with our Prime Solution Monitoring Program. We provide a robust regulatory governance framework designed in accordance with cutting-edge conduct principles, customized to your needs and periodically reviewable. Our Prime Solution Monitoring Program offers an extensive range of services, spanning across relevant laws listed in a regulatory universe and culminating in a practical and easily executable central risk management plan. We've got all your compliance obligations covered. Our program defines three distinct process propellors: Governance & Strategy speaks to the need for compliance (“WHY comply"); Risk Management Practice details the action required to be taken and addresses “HOW to comply”; finally: Monitoring, Reporting & Remediation closes the loop on “WHERE are we now and WHAT can we improve?"

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CPD-accredited Compliance Training courses

We offer a broad spectrum of CPD-accredited training content ranging from FICA awareness and FICA specialized training, POPIA, Cyber Security, Treating Customers Fairly, Complaints Management, Conflicts of Interest, Continuous Professional Development and more. Live and pre-recorded sessions available as well as open or closed, online or on-site training workshops.

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Compliance Consulting

We consult on all aspects related to financial services regulation and compliance - retail and corporate. Get expert advice on authorization requirements, structuring, practice audits, peer reviews, risk and practice management.

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License Application and Facilitation

Our extensive experience in License Category I & II application facilitation is backed by our 100% success rate. Our advice and repertoire of internal policies inspire capability and confidence, so you can present your best effort. You’ll be empowered to walk through the application process with ease. Our commitment to your success ensures efficient and expedient finalization and follow-through.

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Compliance Management Software

The cyber member of our team. A novel and intelligent software solution with innumerable advantages: see a holistic view of your FSP’s compliance footprint; keep tabs on the fit & proper status of your people; receive instant alerts of material non-compliance; track and manage your FSP’s risk; manage and store fundamental records; supervise the activities of key role players; track your FSP’s compliance score as well as a host of additional features. A game-changer in cultivating a culture of compliance within any organization.

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Your compliance questions, Answered