Our Compliance App allows and enables:

  • management and maintenance of internal systems and monitoring mechanisms that are FAIS, FICA, TCF Compliance specific.
  • optimisation of time consuming manual compliance processes through automation.
  • the tracking, monitoring and management of fit and proper requirements for FSP/s, Compliance Officer/s, KI/s and Rep/s.
  • centrally track, manage and report on Customer Complaints aligned to TCF outcomes.
  • your own Document Universe with version control for all standard operating procedures aligned to Fit and Proper, Honesty and Integrity, Conflict of Interest, Complaints Management, Supervision.
  • centralised repository of data and documentation for all FSP’s, Compliance Officers, KI’s and Reps immediately accessible and available at the click of a button.

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Features:

  • Web-based application
  • Integrates with your policy administration system
  • Aligned to:
    • COFI legislation
    • Fit and Proper
    • TCF (Treating Customers Fairly)
    • POPI (Protection of Personal Information)
  • Complaints management and reporting aligned to TCF outcomes
  • Centralised document and data repository for compliance and risk management
  • Maintenance of internal systems and monitoring mechanisms
  • Centralised document universe, easily accesible and immediately available

Benefit:

  • Available 24/7
  • Optimisation of compliance functions through digitisation and automation
  • Management and maintenance of internal systems and monitoring mechanisms
  • Easily integrated
  • Compliance Officers can track, manage and monitor activities of KI’s and Reps to satisfy fit and proper requirements
  • KI’s can track, manage and monitor activities of Reps to satisfy fit and proper requirements
  • Easily manage and monitor complaints
  • Real time monitoring of Risk Management Plan by Compliance Officers and Key Individuals
  • Your own Document Universe for all your Compliance Documents i.e. Operational Ability, Fit and Proper, Honesty and Integrity, Conflict of Interest, Complaints Management, Policyholder Protection Rules etc.

Our Compliance App has four integrated modules consisting of:

FSP/ Compliance Officer/ KI and REP Onboarding

Facilitates the creation of data and document records aligned to POPI and Fit and Proper.

Monitoring and supervision

Provides ability to monitor internal control mechanisms. Key Individuals to manage the Representative process in terms Product and Class of Business accreditation including direct and ongoing supervision as well as CPD.

Complaints management

Provides ability to manage and report on all customer complaints aligned to Treating the Customer Fairly (TCF).

Ability to link a complaint to a REP.

Document universe

Centralised document repository with version control to assist with document management across all compliance functions: Operational Ability FSP Onboarding KI Onboarding Rep Onboarding Product Policy Wording PPR etc.