Our FAISapp allows and enables:

  • tracking, monitoring and management of your Fit & Proper workflow processes.
  • a single point of entry for all your FAIS and Complaints auditing.
  • the creation, maintenance and access to a centralised document universe for all
    your Fit & Proper templates, Board Notices and Standard Operating Procedures.
  • real time recording and tracking of FAIS and other customer complaints.
  • adherence to FAIS Fit & Proper requirements.

Our freemium solution includes the FAIS admin module which allows you to create Fit & Proper records for all your FSP’s, Compliance Officers, Key Individuals and Representatives involved in the compliance process. We also offer a complaints module and centralised document universe which is available on a 30-day trial.

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Features:

  • Single view of your entire operational compliance function
    accessible anywhere at anytime.
  • A single system of record for all your FSP’s, Compliance
    Officers, Key Individuals and Representatives.
  • Fit & Proper record for all persons involved in the
    compliance process who need to be monitored and
    supervised.
  • Record, track, manage and report on Complaints.
  • Centralised document universe where you can upload and
    save all documents relating to Board Notices, Standard
    Operating Procedures and Document Templates.
  • Maintenance of internal systems and monitoring mechanisms
  • Extract custom FAIS and Complaints reports.

Benefit:

  • 24/ 7/ 365 – You have your finger on the FAIS Fit & Proper
    pulse of your business.
  • Immediately know who is reporting into who and under
    which FSP.
  • Keep track of all communication with the complainant.
  • Link complaints back to the Representative.
  • Rest easy knowing all data and documents are maintained and
    accessible in a single place, from anywhere at any time.
  • Measure and report on complaints by TCF outcomes.
  • You can create and extract your own FAIS and Complaints
    reports using your own personal filters for download, analysis
    and review in MS Excel.

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.