Small FSP FAIS and FICA

R2,500 once-off

Editable compliance documents in Word

For small financial services providers and key individuals.

For specialists maintaining FAIS and FICA records.

Documents in this pack

• Compliance and risk policy frameworks — Editable business-specific process frameworks.
• Client due-diligence and compliance checklists — Record applicable checks and evidence.
• Advice, complaints and training registers — Track recorded advice and follow-up.
• Client service agreement framework — Editable service responsibilities for review.
• FAIS and FICA form guides and calendar — Record applicable firm reporting and review dates.

Templates for compliance specialists and business owners — not legal advice