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FSCA Practice Number: 6406

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RISK IN BUSINESS DOWNLOADS

1. Index to Compliance File
2. Risk Management Plan
3. Business Continuity Management Plan
4. Conflict of Interest Policy & Register
5. Complaint Management Framework
5.1 Complaints Register
6. Due Diligence Management Policy
7. Disaster Recovery Plan
8. New Business Register
9. Premature Cancellation Register
10. Compliance Review & Update Control Checklist
11. POPIA Policy & Compliance documents
11.1-10 Step Assessment Plan to POPIA Compliance
12. PAIA (Protection of Access to Information Act)Manual
12.1 PAIA-Request for Access to Information Register
13. TCF (Treating Customers Fairly) Management Information Tool
14. Termination of Agreement or Business
15. FICA Risk Management and Compliance Programme For FSPs 2018
16. Advertising Policy and Procedure
MANAGE YOUR RISK IN BUSINESS
MANAGE YOUR RISK WITH CLIENTS
MANAGE YOUR RISK WITH YOUR EMPLOYEES

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