FAISPro
FAIS compliance management
Representatives under FAIS: fit and proper, CPD, supervision, debarment, Key Individuals, FSCA register.
Modules
Representatives
- Register per FSP
- Categories, subcategories, product classes
- Appointments, terminations, leavers
Fit and proper
- Qualifications, regulatory exams, experience
- Honesty and integrity screening
- Recalculated on every change
CPD
- Hours per cycle
- Pro rata for part cycles
- Evidence per activity
Supervision
- Supervisors, agreements, KI sign-off
- Stand-ins, changes
- Reps under supervision report
Debarment
- Notice, response, decision
- Deadlines and escalation
- FSCA notification
FSCA register
- Submissions prepared
- Rejections inbox
- Reconciliation; full register to Excel
Key Individuals
- KI applications
- Form FSP 4D and 5
- Multiple FSPs
Attestation
- Attestation findings
- Handover complaints
- Printing
Reports
- Compliance status
- Deadlines, drill-down
- Excel export
Specification
| Roles | Compliance officer, Key Individual, team leader, Training, representative |
|---|---|
| Staff data | HR import with mapping and undo, or Core staff register |
| Queued notifications, scheduled jobs | |
| Audit | Every change recorded; evidence on file |
| Hosting | Hosted, multi-client; dedicated instance available |
| Background | Based on the FAIS system built for Nedbank |