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FAIS Compliance and Representative Supervision

Focuses on the conduct obligations facing financial services providers, key individuals and representatives under financial advisory and intermediary services regulation. Delegates learn how to supervise representatives under supervision, maintain competence and fit and proper records, and manage the compliance monitoring cycle. The course uses practical scenarios drawn from advisory and intermediary businesses.

What you will be able to do

  • Describe the licensing categories and conduct duties for providers.
  • Manage fit and proper, competence and continuous professional development records.
  • Supervise representatives operating under supervision arrangements.
  • Handle disclosures, record keeping and conflict of interest requirements.
  • Operate a compliance monitoring and reporting cycle for the provider.
  • Prepare for regulatory reviews and remediate common findings.

Course outline

  1. 01Financial Advisory Regulatory Framework
  2. 02Licensing Categories and Duties
  3. 03Fit and Proper and Competence
  4. 04Supervision of Representatives
  5. 05Disclosure and Conflict Management
  6. 06Record Keeping and Reporting
  7. 07Compliance Monitoring Cycle
  8. 08Regulatory Reviews and Remediation

Who should attend

Compliance officers, key individuals, representatives, supervisors and operations managers in financial advisory and intermediary businesses.

Dates, venues and fees

DatesVenueDaysFeeCalendar
17 to 19 Aug 2026Online3US$900
24 to 26 Aug 2026Mozambique3US$1,500
31 Aug to 2 Sep 2026Cairo3US$1,500
7 to 9 Sep 2026Accra3US$1,500
14 to 16 Sep 2026Lusaka3US$1,500
21 to 23 Sep 2026Kigali3US$1,500
28 to 30 Sep 2026Nairobi3US$1,500
5 to 7 Oct 2026Durban3R13,000
12 to 14 Oct 2026Johannesburg3R13,000
26 to 28 Oct 2026Mauritius3US$1,500
2 to 4 Nov 2026Dubai3US$1,500
9 to 11 Nov 2026Lagos3US$1,500
16 to 18 Nov 2026Harare3US$1,500
23 to 25 Nov 2026Kampala3US$1,500
30 Nov to 2 Dec 2026Dar es Salaam3US$1,500
7 to 9 Dec 2026Pretoria3R13,000
14 to 16 Dec 2026Cape Town3R13,000

Fees are per delegate. South African venues are priced in rand; other locations and online in US dollars. Fees exclude 15% VAT where applicable. Group bookings of three or more delegates from the same organisation qualify for a reduced rate; contact us for a quotation.

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