RISK AND EMPLOYEES

1. Representative Register Instruction to Infinitum Compliance
2. Representative Appointment Checklist
3. Competence Register
4. Advice Giver Declaration
5.1 Employment Contract Comm only with annexure
5.2 Employment Contract Rep under Supervision Comm only with Annexure
5.3 Employment Contract Representatives under Supervision no annexure
5.4 Employment Contract Representatives no annexure
5.5 Employment Contract (Administrative Staff)
6. Fit & Proper Policy
7.1 Fit and Proper Declaration by Key Individual
7.2 Fit and Proper Declaration by Representative
7.3 Fit and Proper Declaration by Rep under Supervision
8. Mandate & Resolution i.t.o Sec 13
9. Solvency Checklist for Key Individual
10. Juristic Representative Agreement
11. Non Advice Giver Declaration- Admin Staff
12. Replacement of Key Individual Sec8(4)(b)
13. Monitoring of all Representatives & performance assessment
14. Board Notice 194 of 2017
15. Checklist for Representative's client files
16. Section 13 Certificate
17. Supervision Agreement
MANAGE YOUR RISK IN BUSINESS
MANAGE YOUR RISK WITH CLIENTS
MANAGE YOUR RISK WITH YOUR EMPLOYEES

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