Ten Four Consulting has been established to guide you through the compliance process, leaving you free to focus on your core business.
Whether you are an independent broker or part of a broker group or network, we provide a confidential and efficient service, tailored to your individual needs, based on the following services:
services
Our services include the following:
- FAIS and FICA Compliance assessments
- Step by step instructions and assistance to implement compliance processes
- Comprehensive compliance audits
- Quarterly audits and spot checks
- Regular updates and feedback
- Assistance with assessments, licensing and training for Fit & Proper Requirements in terms of FAIS
- Site visits and/or electronic interface
- Compliance Manual
- Compliance templates and documents
We take care of all your compliance needs, while you keep your eye on the bottom line
benefits
In addition, we add value through:
- Regular liaison with the FSB and affiliated bodies
- Summaries and updates on new and existing legislation
- Market news
- Compliance checklists
- Assistance with FSB reports, and feedback
- Compliance consulting
- Business documents such as Risk Management Plans and Business Plans
- Assistance with handling of compliance related complaints
- Correspondence with FAIS Ombud where required
We render a confidential and efficient service
Cost structure
Tailor made for each client -
based on a fixed monthly fee or an hourly rate, depending on your requirements
Contact us today to analyze your compliance needs and calculate your unique fee structure
We do not force our clients to fit into a services and costing mould. Customization is our middle name, so, together with you, we decide on the compliance needs of your business and how costing will take place.
