Regulatory Resources

This resource hub hosts key regulatory documents and practical guidance to support your compliance journey in the South African financial services sector. Reach out to our dedicated team for expert ongoing regulatory support.

Contact for Support

Key Regulatory Documents

Access crucial compliance frameworks and statutory guidelines governing the South African financial sector. These resources provide the foundation for robust regulatory adherence.

POPIA

Protection of Personal Information Act – Regulating the processing of personal information.

Download PDF

CISCA

Collective Investment Schemes Control Act – Framework for managing pooled investment schemes.

Download PDF

FAIS

Financial Advisory and Intermediary Services Act – Ensuring consumer protection in financial services.

Download PDF

OHS Act

Occupational Health & Safety Act – Ensuring compliance and safety standards for financial environments.

Download PDF

FICA

Financial Intelligence Centre Act – Combating money laundering and financing of terrorism.

Download PDF

FSRA

Financial Sector Regulation Act – The master framework establishing consolidated regulation in South Africa.

Download PDF

These external documents are provided for convenience only and do not constitute legal advice from Fit and Compliant Consulting.

Expert Insights

Industry Guides and Insights

Compliance Best Practices

Audit readiness self-assessments for FSPs
Internal control framework monitoring checklists

POPIA for Financial Firms

Data protection impact assessment guides
Operator agreement compliance auditing tips

Strategic Governance

Board-level compliance reporting framework
Integrating compliance into board strategy

Frequently Asked Questions

We aim to simplify the complexities of financial services compliance. If you don't find the answers you need here, please reach out to our team for personalized assistance.

How often are these resources updated?

Our documents are reviewed quarterly and updated promptly following any major regulatory shifts in the South African financial sector to ensure continued relevance and accuracy.

Can you assist with POPIA registration?

Yes. We offer hands-on support for Information Officer registration and help you implement the necessary practical measures to satisfy Information Regulator requirements.

Are these documents legally binding?

These resources are intended as guidance and templates. While they align with regulatory standards, we highly recommend a professional consultation to tailor them to your specific financial services license structure.

How do I request a custom compliance audit?

You can request a custom audit through our contact page. We will set up a discovery session to understand your current compliance framework and identify areas for optimization.

Is there a cost for these resource downloads?

Our industry guidance and insights are free for visitors. Comprehensive implementation toolkits and premium templates are provided as part of our contracted consulting services.