Annexure 1 Annual Compliance Report for FSPs
by Dawn Julyan, from the Community
Annexure 1 to the Annual Compliance Report for Financial Services Providers in South Africa. This template helps FSPs record regulatory oversight (FSCA, FIC, NCR, SARS, MSCA), unregulated products, non-compliance on categories, group structures, key individuals and fit and proper status, operational ability and financial soundness, direct marketing controls, advice and recordkeeping procedures, custody of client funds and IGF cover, complaints and outcomes, business continuity and succession planning, waiver of rights, representatives under supervision and debarment, compliance function monitoring, risk management, file audits, AML, conflict of interest, and product suppliers for health, forex and discretionary mandates.
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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.