Business Services

Compliance

View our FSB License

Over the last decade there have been significant developments within the financial services environment including the introduction of a number of investment products and structures that have become more and more complex. Many of these products, whether locally or internationally originated, have not been approved by the financial services board and could thus carry significant risk that is not immediately evident.

At Efficient Advise, we have taken a very conscious decision to preclude the approval of any investments, products and product providers that have not been approved by the Regulator or a similar industry body. Furthermore, every investment product and structure marketed by Efficient Advise has been approved by our product or investment committee after going through a rigorous approval process. Although this does not totally eliminate the risks relating to investments and investment products, it does ensure that Efficient Advise limits the risk of our clients investing in schemes that are exposed to unreasonable levels of governance or compliance risk. Additional compliance reviews are also conducted at every branch of Efficient Advise to ensure ongoing compliance.

Our compliance process thus provides our clients with peace of mind that the products and services offered by Efficient Advise comply with stringent compliance guidelines and that every area of our business is also subjected to the same stringent criteria via an independent compliance and governance body.

Efficient Benefits:

  • A thorough product approval process
  • A rigorous, external ongoing review of our own business
  • A comprehensive internal compliance infrastructure and process
  • Regular internal FICA and FAIS Act audits
  • Reviews by independent compliance officers

Our Offering:

  • Peace of mind
  • A comprehensive range of approved products and services
  • A free consultation regarding any unapproved investment products or structures
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