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Compli-Serve SA (Pty) Ltd

Compli–Serve (SA) (Pty) Ltd is a nationally represented independent provider of regulatory compliance management services and solutions to the financial services sector. We draw on international experience in developing services tailored for the domestic market. Our services are designed to meet the best practice compliance needs of today’s financial services professionals who operate in an ever more regulated environment.

We are authorised by the Financial Services Conduct Authority “FSCA” and currently work with various local and international firms in the financial services sector. Our clients include independent financial advisors, underwriting managers, insurers, investment /asset managers, hedge funds, private equity / venture capital firms, online robo-advice and direct sale call centres,

Company Press Releases » Keep an open mind and an ear to the ground 06 Aug 19 | Read More » The Fourth Industrial Revolution (4IR) continues to shape our conversations and considerations around how we might need to adapt, or what skills will be needed to sustain the workplace of the future. The 4IR brings with it fast-paced change and a digital shift unlike any ... The consequences of missing your CPDs 22 Jul 19 | Read More » The extended deadline (to 31 July 2019) to earn required Continuous Professional Development (CPD) hours is around the corner. For those in financial services who are behind in earning theirs, it is best to act fast. The previous deadline of 31 May arrived sooner than anticipated, ... Financial services compliance: Are you on track? 08 Jul 19 | Read More » Richard Rattue, Managing Director, Compli-Serve SA   The middle of another year has firmly arrived and it’s a good opportunity to do a mid-year compliance check-up, to avoid any mishaps before they happen. The FSCA’s current overhaul of ... From back office to board room: How SA’s compliance industry has evolved in 15 years 09 May 18 | Read More » As independent compliance services provider Compli-Serve celebrates its 15th year of operation, managing director and industry veteran Richard Rattue reflects on the most significant changes affecting the industry in this time. “First and foremost, attitudes ... Compli-Serve workshop for Financial Advisors & Compliance Officers 05 Sep 06 | Read More » COMPLI-SERVE EVENTS 2006 “security through knowledge” presents a workshop for Financial Advisors & Compliance Officers. Page by page review of 2006 FAIS REPORT and review of revised Fit and Proper Regulations. Topics discussed: All registered FSP's must complete ... Complaints Advice and Resolution Services - FAIS Act 2002 02 Aug 06 | Read More » Introduction It is expected that the Financial Advisory and Intermediary Services Act, of 2002 “FAIS” will result in an increased number of complaints from consumers. It is important that Key Individuals are advised as to the merits of a complaint as quickly ... What is the Compli-Serve Knowledge Service? 17 Jul 06 | Read More » The Knowledge Service is a South African Financial Services Compliance Portal, delivering regulatory information within the following KEY areas:CompliNEWS - Compli-Serve's exclusive client newsletterLatest Publications incl. media/information releases, warnings and alerts, ...