Our offices will be closed from 24 December 2024 and will re-open on 2 January 2025.
For All Your Compliance Solutions because
You Compliance Matters!
Your business must outlive you, and sustain your future generations, we help you leave a legacy.
Our FAIS compliance services include:
-
Regulatory Monitoring
-
FAIS License Applications
-
Reporting
-
Compliance Monitoring
Compliance Proxy (Pty) Ltd service offering include compliance monitoring for category I, II and IV financial service providers under the Financial Advisory and Intermediary Services Act, 2002 (“FAIS”). We are approved by the Financial Sector Conduct Authority (‘FSCA”).
Our practice numbers are 7283 and 6166.
Regulatory Monitoring
Compliance Proxy safeguards your business and improves stakeholder relations by providing professional guidance and expert advice on regulatory developments in the financial services industry.
FAIS License Applications
Compliance Proxy has the expertise and experience to assist you in your FAIS license applications with the FSCA.
Reporting
Compliance Proxy provides quality compliance reporting for your organisation through regular updates, feedback, reports and completion of submission of FSCA requirements.
Compliance Monitoring
Compliance Proxy does not adopt a tick-box approach to compliance. We work with different types of financial services provides. Our monitoring include FSPs, Branches, Juristic reps and Representatives.
The duties of the Compliance officer include inter alia, the following:
- Monitoring of the Compliance function *supervision of the Compliance function
- Recommendations to the Key Individual (KI) regarding compliance and monitoring
- Submitting of reports to the Financial Sector Conduct Authority (FSCA) as required by the FAIS Act.
Shortcuts
Not sure where to access regulatory bodies?
We've got you covered.
Details of FAIS Ombudsman
www.faisombud.co.za
Details of Life Assurance Ombudsman
www.ombud.co.za
Details of Short-Term Ombudsman
www.osti.co.za
Association of Savings and Investments SA
www.asisa.org.za
Council for Medical Schemes
www.medicalschemes.co.za
Details of FAIS Ombudsman
www.fsca.co.za
Pension Funds Adjudicator
www.pfa.org.za
Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt mollit anim id est laborum.
Do you need compliance people that care about your business?
Contact Us
Your compliance is our priority, but it should be your greatest commitment.
Training and Development
We collaborate with leading service providers such as INSETA, Albatros Learning Academy, and Trainsure to deliver impactful training programs that upskill our clients and their employees. Our goal is to ensure your team is equipped with the knowledge and tools they need to drive your business forward—because investing in your people is the first step to building a thriving business.
The article emphasizes that upskilling employees is crucial for organizations to bridge skills gaps, enhance productivity, and maintain competitiveness in a rapidly evolving job market. Investing in employee development not only addresses immediate skill shortages but also fosters a culture of continuous learning, benefiting both the organization and its workforce.
Read More
Our Additional Services:
01
Professional Key Individual Services
We provide expert FAIS Key Individual services to ensure FSPs achieve regulatory compliance, effective governance, and operational excellence.
02
CIPC and Company Secretariat Services
Assisting with the registration of new entities, changes to directors, and other statutory amendments. maintaining and updating company registers in line with legal requirements.
03
Tribunal Matters
Offering guidance, compiling evidence, and representing clients in tribunal hearings. Facilitating amicable solutions through mediation or negotiation before tribunal proceedings.
04
Debarments and Hearings
Guiding FSPs through debarment processes in line with FAIS regulations and ensuring procedural fairness. Coordinating and managing hearings, including preparing agendas, evidence, and procedural documentation.
05
Forensic Investigations
Identifying fraudulent activities and implementing measures to mitigate future risks. Analyzing transactions, accounts, and records to uncover discrepancies and misconduct. Collecting and documenting evidence in compliance with legal standards for use in disciplinary or legal proceedings.
06
Training and Development - Compliance, NQF Level 4 and 5 Facilitation, RE1, RE5
Ensuring teams understand and adhere to industry regulations and standards. Ensuring teams understand and adhere to industry regulations and standards. Offering expert guidance and resources to help candidates excel in regulatory exams.
07
Professional Rep under Supervision Services
Creating tailored supervision plans to ensure compliance with FAIS regulations.
Providing guidance to enhance technical knowledge, ethical practices, and professional growth.
Tracking progress and ensuring representatives meet required competencies within prescribed timelines.
08
Coaching and Development
Enhancing leadership capabilities to drive growth and inspire teams.
Equipping individuals with practical tools to excel in their roles and achieve career goals.
Supporting individuals in overcoming challenges and unlocking their potential.
09
Our Professionals
Legal: Attorneys and Advocates
Forensic Investigators
Accounting Officers and CAs
Compliance Officers
We are committed expert partners
We place huge value on strong relationships and have seen the benefit they bring to our business. Customer feedback is vital in helping us to get it right.
Image from
Our CEO and Compliance Officer is a passionate leader dedicated to helping businesses thrive while ensuring full compliance with FAIS, FICA, TCF, POPIA, and other regulatory frameworks. With an unwavering commitment to excellence, she combines her decades of expertise in compliance and governance with a client-centric approach, empowering businesses to grow confidently within the legal and ethical standards of their industries. Her mission is to build lasting partnerships by delivering tailored solutions that balance regulatory requirements with sustainable business growth.
SUNITHA BISNATH
Meet Our Compliance Manager
Our Compliance Manager is a highly skilled professional dedicated to ensuring that our clients' businesses remain fully compliant with regulatory frameworks such as FAIS, FICA, TCF, and POPIA. With a keen eye for detail and a proactive approach, she works closely with clients to implement effective compliance strategies that not only mitigate risks but also support sustainable growth. Her expertise in navigating complex regulations and her commitment to fostering ethical business practices make her an invaluable partner in helping clients achieve their goals with confidence and peace of mind.
KARISHMA VAN ZYL
Our Marketing Manager is a dynamic professional passionate about connecting businesses with the compliance solutions they need to thrive. With a deep understanding of the compliance industry and a talent for crafting impactful marketing strategies, she ensures our services reach the right audience effectively. Through innovative campaigns, clear communication, and a client-focused approach, she helps position our company as a trusted partner for businesses striving to stay compliant while achieving their growth objectives.
CHAMPS NARASSA
