The Corporate Counsel is an approved compliance and risk management practice founded in 2005. We provide specialist services to a select reputable group of financial services clients, including private equity funds, hedge funds, collective investment schemes and general advisory businesses.
Services
Our services include the following:
FSP Licence Applications
Assisting with Financial Service Provider Licence applications in terms of the Financial Advisory and Intermediary Services Act ("FAIS Act") and applying for any applicable exemptions.
External Compliance Officer
Acting as an external compliance officer in terms of the FAIS Act, the Financial Intelligence Centre Act and other applicable financial services legislation.
Drafting
Drafting applicable policies such as business continuity plans, conflict of Interest , information barrier policies and anti money-laundering risk management and compliance plans.
Preparation For Visits
Assisting with preparation for on-site visits by the FSCA and other supervisory bodies.
Training
providing training to candidates in respect various financial services legislation including preparation for Regulatory Exams.
Articles
| 23/5/2022 | CPD deadline fast approaching |
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| 8/12/2021 | FSCA Request for Information Deadline Fast Approching |
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| 8/12/2021 | 2021 Year End Update |
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| 8/12/2021 | FSCA introduces new method of updating the Representative Register |
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| 8/12/2021 | Have you compiled your PAIA Manual - Deadline 31st of December 2021 |
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| 23/8/2021 | Submission of FAIS Reports 2021 |
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| 23/8/2021 | Levy on authorised financial services providers |
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| 21/7/2021 | POPI Act- Contact information you need to know |
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| 21/7/2021 | POPIA Prior Authorisation-Does your business need to apply |
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| 21/7/2021 | Warning against the processing of personal information without consent |
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| 6/7/2021 | Highlights Of The 2nd Quarter |
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| 6/7/2021 | Financial Statements and Audit Requirements |
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| 21/4/2021 | FICA Directive to provide information |
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| 7/4/2021 | How to evaluate risk according to geography |
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| 30/3/2021 | Importance Of Keeping Representative Register And Competence Register |
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| 6/1/2021 | Guidance Notice on the Lapsing of Licences in terms of S11 of the Financial Advisory and Intermediary Services Act, 2002 |
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| 19/11/2020 | 2020 Extended Deadlines Reminder |
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| 20/10/2020 | 2020 CPD Cycle |
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| 14/10/2020 | FSCA publishes new conduct standards |
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| 14/10/2020 | The Conduct Of Financial Institutions Bill |
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| 12/10/2020 | Complaints Resolutions Procedure |
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| 12/10/2020 | Joint Standard 2 of 2020: Margin requirements on non centralised Over The Counter (OTC) derivative transactions |
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| 01/07/2020 | Joint Standard 1 of 2020: Fitness, Proprietary And Other Matters Related To Significant Owners: Part 2 |
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| 01/07/2020 | Joint Standard 1 of 2020: Fitness, Proprietary And Other Matters Related To Significant Owners |
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Contact
Get in touch with us today
Location:
Block 3,
Commerce Square
No 39 Rivonia Road, Sandton
Email:
info@corporatecounsel.co.za
Call:
+27 63 912 6612