Client Onboarding Pack
Welcome to Your Client Onboarding Pack
Welcome to Fit and Compliant Consulting. This onboarding pack is designed to give you a clear, practical overview of how we work together to support your FSCA and FAIS compliance, regulatory readiness, and education coordination. Here you’ll find key information about our process, timelines, responsibilities, and the support you can expect from us at each step. Our goal is to make your journey as simple, transparent, and supported as possible.
Clarity, Compliance, and Guided Support
Everything in this pack is written in plain language so you know exactly what to expect and who does what.
Service duration
- The Core Support Package typically runs for 3–6 months from the agreed start date.
- Exact timeframes depend on your goals, regulatory status, and availability.
Communication and response times
- We primarily communicate via email and scheduled online meetings.
- We aim to respond to emails within 2–3 business days, excluding public holidays.
- Urgent matters should be clearly marked so we can prioritise appropriately.
Service Level Agreement – Summary
This is a plain-language summary of how we work together during your Core Support Package.
Scope of services
- Education and qualification coordination aligned with FAIS and FSCA expectations.
- High-level regulatory readiness guidance related to your role and responsibilities.
- Support with mapping your DOFA, current status, and required next steps.
- Progress tracking check-ins and basic reminders to help you stay on track.
Important disclaimer
- Fit and Compliant Consulting provides coordination, guidance, and support, but does not make regulatory decisions.
- We do not guarantee FSCA or FAIS approval, exam results, or qualification outcomes.
- Final responsibility for meeting regulatory requirements always remains with you and your authorised financial services provider (FSP).
Client responsibilities
- Provide accurate and complete information and documents when requested.
- Actively participate in study, training, or exam preparation activities.
- Communicate changes in your role, employer, or regulatory status as soon as possible.
Our Process: How We Work Together
Here is a simple overview of the steps we follow during your onboarding and support journey.
1
Initial enquiry and information review
You contact us and share basic details about your role, goals, and current status so we can understand your needs.
2
Client onboarding and document collection
We confirm your package, share onboarding documents, and request the information and records we need to support you effectively.
3
DOFA and regulatory status verification
We help you confirm or clarify your DOFA and current FSCA/FAIS status so your pathway and timelines are accurate.
4
Study or exam pathway coordination
We help you map out suitable qualifications, regulatory exams, or learning activities with accredited providers.
5
Progress monitoring and ongoing support
We check in periodically, track progress against agreed milestones, and adjust plans where needed.
6
Completion review and next steps
We review your journey, identify remaining actions, and suggest logical next steps for your development and compliance.
Compliance and Data Protection
Fit and Compliant Consulting operates with a strong focus on regulatory integrity and the responsible use of personal information. Our services are designed to support alignment with FAIS and FSCA requirements, particularly for financial advisers, representatives, brokers, Key Individuals, and support staff.
We handle your personal and regulatory information in line with POPIA principles. This means we only collect information that is relevant, use it for agreed purposes, store it securely, and keep it only for as long as necessary.
Where we work with accredited training providers or other third parties, we take reasonable steps to ensure that they also follow appropriate data protection practices.
By proceeding with our services, you acknowledge that we may process your information for coordination, support, and reporting linked to your education and regulatory journey, and that you can contact us at any time with questions about how your information is used.
Frequently Asked Questions
Where can I get funding or financial assistance to pay for my studies?
We do not provide direct funding, but we can guide you on available options such as employer sponsorship, SETA bursaries, or accredited training provider payment plans. We’ll help you identify realistic options based on your role, goals, and current situation.
Where can I apply to study FAIS or FSCA-aligned qualifications?
We work alongside accredited training providers and institutions. During onboarding, we’ll help you identify programmes that are aligned to FAIS and FSCA requirements and introduce you to reputable, accredited providers that fit your needs.
Where can I find my DOFA (Date of First Appointment)?
Your DOFA is usually available through your employer’s HR or compliance team, or via the FSCA records. As part of our process, we help you understand where to find this information and how it affects your competency and qualification timelines.
Do you provide guidance for RE5 and regulatory exams?
Yes. We provide guidance on exam readiness, recommended study approaches, and how RE5 and other regulatory exams fit into your overall compliance and qualification plan. We do not write exams for you or guarantee a pass, but we support you in planning and preparation.
How long does the Core Support Package take?
The Core Support Package typically runs for 3 to 6 months, depending on your starting point, availability, and the complexity of your learning or regulatory pathway. We’ll agree your specific timelines during onboarding.
Is my personal information safe?
Yes. We take data protection seriously and follow POPIA and FSCA expectations for handling personal and regulatory information. Your information is only used for the purposes of coordination, compliance support, and reporting that you have agreed to.
Service Scope Summary
- FAIS & FSCA coordination aligned with expectations
- Regulatory readiness guidance and mapping
- Periodic progress monitoring and check-ins
Ready to Get Started?
If you are ready to move forward with your onboarding, here are your next steps.
Complete your onboarding form and confirm your chosen support package.
Download your FAQ and SLA summary for your records.
Contact Fit and Compliant Consulting if you need personalised guidance on your pathway.