Compliance.

Compliance, unfortunately, has become a heavy burden to many financial advisors and intermediaries. We passionately believe that there are ways to comply better without all the complexity. Our objective with our compliance modules and courses is to keep it real, keep it simple and make it more practical.

Browse our CPD Modules on Compliance.

Modules.

Our accredited CPD modules consist of short sessions on specific topics that relate to the fundamentals of compliance. We keep it simple, and we make it practical.

Free | Ethics

Module: The ten step process of client engagement and compliance (Introduction to courses)

The client engagement and compliance process form a vital part of every successful advisory practice. During this session you will gain high level insights regarding the essential components of professional client engagement and compliance requirements, which will lay a sound foundation for you to build, establish, grow, and sustain your practice.

Courses.

R350 | Ethics

The ten-step process and compliance for non-life insurance related advice (commercial lines)

This course highlights the fundamental principles within the framework of the ten-step process of professional client engagement that enable non-life insurance advisors to provide commercial lines insurance advice and to render intermediaries services in a compliant way by making sure that their non-life commercial lines transactions are accurately accounted for.

R350 | Ethics

The ten-step process and compliance for non-life insurance related advice (personal lines)

This course unpacks the fundamental principles within the framework of the ten-step process of professional client engagement that enable non-life insurance advisors to provide personal lines insurance advice and to render intermediaries services in a compliant way by making sure that their non-life personal lines transactions are accurately accounted for.

R350 | Ethics

The ten-step process and compliance for long-term insurance related advice

This course emphasises the fundamental principles within the framework of the ten-step process of professional client engagement that enable financial advisors to provide long-term insurance related advice and to render intermediaries services in a compliant way and making sure that their long-term insurance transactions are accurately accounted for.

R350 | Ethics

The ten-step process and compliance for investment related advice

This course focuses on the fundamental principles within the framework of the ten-step process of professional client engagement that enable financial and investment advisors to provide investment advice and to render intermediaries services in a compliant way by making sure that their investment transactions are accurately accounted for.

Upcoming Courses coming soon 

 Here’s a preview of what you can expect:

Course: The ten step process of client engagement and compliance for medical aid insurance related advice

The time is always right to do what is right.

– Martin Luther King Jr.