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Ongoing Compliance Support

Businesswoman on Phone

​At OCS, we understand the importance of regulatory compliance for your business. That's why we offer a comprehensive range of compliance solutions to mitigate your compliance risks and help your business operate efficiently and effectively.


Our engagement with your business includes:


  • Appointment as your external FSCA FAIS compliance officer in compliance with your agreement.

  • Liaison with FSCA analysts for speedy implementation and handling of queries.

  • Attend to FSCA profile changes and conduct quarterly/monthly onsite compliance reviews.

  • Provide general compliance consulting and advisory services, and relevant specimen compliance policies as and when required, including FAIS CRMP.

  • Ensure that your compliance policies are up-to-date.

  • Provide a compliance monitoring plan that's facilitated by software.

  • Provide regular compliance updates and explain how changes in legislation/regulation may impact your business.

  • Provide assurance to the level of compliance.

  • Submit relevant FSCA compliance reports/declarations.

  • Provide detailed quarterly/monthly internal compliance reports.

  • Perform monitoring and sampling, including social media, financial soundness, client onboarding processes and documentation, anti-money laundering/combating the financing of terrorism procedures, compliance policies, key individuals/representatives fit and proper, supervision, and conflict of interest.

  • Be available via telephone, email, and WhatsApp.

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