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Are all your reps Fit and Proper?

22 September 2021

Finding people that you work well with is no easy feat but beyond finding a good fit, are they correctly qualified for the position? Fit and Proper requirements add a new level of compliance to employment choices and can greatly impact representatives (reps) on a financial services licence, whether or not they are new to the firm.

CFP® - The most important three letters in financial planning

10 September 2021

Preparing for an uncertain future has never been so important. Financial wellness is the cornerstone of a healthy society and should be the goal of every individual. But achieving financial wellness is easier said than done. There are thousands of financial products on the market, and it seems that everybody has an opinion about what you should do with your savings.

Compli-Serve SA launches unique Anti-Money Laundering (AML) Information Service

01 September 2021

Compli-Serve SA, an independent specialist provider of advisory and operational compliance services to the financial services sector, has just launched its AML Information Service, a comprehensive information-only service that helps to manage risks, carry out Customer Due Diligence and stay up-to-date on AML compliance.