Compliance and Training Solutions
Within Ex-cel Business Training, we have a Governance and Compliance Department, with commercial experience across sectors, including Financial Services and Public Enterprises. This allows us to offer diverse services to our customers.
Our compliance offering covers your business throughout the compliance process, from:
- Alerts and impact analysis on new legislation.
- Defining your regulatory universe.
- Drafting compliance risk management plans (including action plans with due dates and tracking same until completion).
- Reporting on areas of development.
- Providing monitoring and reporting at various stakeholder levels, such as the Regulatory Bodies, the Board, senior and middle management and operational staff.
Our experience in Africa, South Africa, EU and the UK, ranges from providing services such as:
- Registering as Head of Compliance with the Prudential Authority.
- FAIS Compliance Officer registrations with FSCA
- AML/FIC Officer Registrations with the FIC Regulator.
We have successfully conducted AML, compliance, market conduct, POPI reviews in various industries.
Our Governance and Compliance Department specialises in governance and compliance services providing a variety of services to assist your business in managing legal and compliance.
Compliance Services
Service
Description
Fees
Compliance Risk Assessments
Conduct a compliance risk assessment, identifying areas of non-compliance and remediation services.
Fee Per Hour
Compliance Risk Management Plans (CRMP’s)
Drafting of CRMP’s per legislation. Defining risk ratings, controls, assessing the adequacy as well as effectiveness of controls, and drafting an action plan when required for areas of partial or non-compliance.
Fee Per Hour
Compliance Training
Drafting training material and conducting face-to-face or online training. As part of our services, we are able to provide awareness training and perform assessments/tests.
Fee Per Hour
Impact Analysis
Risk based analysis of new legislation and areas of application to your business, with a high-level action plan.
Fee Per Hour
Policy Drafting
Drafting of regulatory and business policies tailored for your business.
Fee Per Hour
Register As FAIS Compliance Officer
Registration with FSCA as your FAIS Compliance Officer, conducting all functions in relation to FAIS (COFI) compliance and reporting to FSCA.
Retainer
Register As FIC Compliance Officer
Registration with FIC’s as your FIC Compliance Officer, conducting all functions of a Anti-Money Laundering Compliance Officer, including compliance with PRECCA, POCA, POCDATARA ACTS and where applicable, reporting to FIC.
Retainer
Register As Head Of Compliance Control Function
Registration with the Prudential Authority as your Head of Compliance Control function (formerly Public Officer), and conducting all functions in relation to compliance with the insurance act, fit and proper requirements, PPR and reporting to the PA.
Retainer
Company Secretarial / Governance Services
Service
Description
Fees
Board Planning/Documentation
Drafting of Board work plan and Charter, MOI and DOA.
Fee Per Hour
Board Meeting Preparation
Preparing packs for Board, EXCO and sub-committees.
Fee Per Hour/ Retainer
Reporting To CIPC
Submitting annual CIPC compliance reports.
Fee Per Hour/ Retainer
Minutes
Taking and disseminating Board, EXCO and sub-committee minutes.
Fee Per Hour/ Retainer
Board Advisory
Advising the Board in terms of its fiduciary duties as per the Companies Act, King IV and all applicable governance and risk management legislation applicable to oversight by the Board, including training the Board.
Fee Per Hour
Training Services
Service
Description
Fees
Company Compliance Policies Training
- Training staff on legislative requirements.
- Application of the requirements through company processes and policies.
Fee Per Hour Per Delegate
Regulatory Training
- Anti-Money Laundering – CFT Training (FIC)
- Compliance Process / Regulatory Universe Training
- Conduct of Financial Institutions Training – COFI (New FAIS) Training
- Corporate Governance Training (Companies Act, King IV)
- Regulatory (Financial Services) Training
- Protection of Personal Information (POPI) Training
- Treating Customers Fairly / Conduct Risk Training
Fee Per Hour Per Delegate
(on-line, pre-recorded or face-to-face)
