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FAIS Compliance Audit Checklist (Category II)

by Freddie Eilers, from the Community

Downloads: 30+
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This FAIS compliance audit checklist supports Category II financial services providers in conducting a monthly monitoring review. It covers regulatory requirements for CIS managers and white-label funds, documentation of portfolio management processes, mandate approval and retention, client fact-finding and risk profiling, and ensuring product-risk alignment. It also checks controls on trade netting, asset swaps between client portfolios, significant withdrawals, and complaint handling. Use it to structure evidence gathering, confirm adherence to codes of conduct, and finalize the audit with clear sign-off by the compliance officer.

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Digitize any process, procedure or policy
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Confirm accountability and compliance with a digital log

With SafetyCulture you can

Digitize any process, procedure or policy
Eliminate mistakes made by paper-based processes
Create and share professional reports instantly
Confirm accountability and compliance with a digital log

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This community page makes available free workplace checklists and templates created by other users within the SafetyCulture community. SafetyCulture has re-published this content and where possible, has credited the original author. SafetyCulture has not verified the accuracy, reliability or suitability of any community content. You agree that your use of any of this content is in accordance with SafetyCulture’s Terms and Conditions.