Facilitated Workshop: Fit and Proper for Key Individuals

Paull Lawrence
Specialist Consultant


BOOKING GUIDE

As a Key Individual you have certain requirements and responsibilities placed on you by the FAIS Act.  How has the recent Fit and Proper amendments influenced Key Individuals?
Moonstone offers Fit and Proper for Key Individual Workshops that will provide you with insights to ensure that you are fighting fit!

The workshops are aimed at Key Individuals who are responsible for the managing and overseeing of the activities of licenced Financial Services Providers. The workshop will addresses the fit-and-proper requirements for Key Individuals as well as their responsibilities towards their FSP in terms of Board Notice 194 of 2017.

Focus Areas
This workshop covers the fit-and-proper requirements for Key Individuals and their responsibilities especially with reference to BN194/2017.

Who Should attend
Key Individuals and Compliance Officers

CPD info
7 CPD hours per session
The workshops are accredited by the Compliance Institute of Southern Africa and thus qualify as a CPD activity towards the accumulation of CPD hours as required by the FSCA.

Agenda

09H00 Coffee/Tea & Registration
10H00 Session 1: Introduction and Fit and Proper Requirements for Key Individuals
11H30 Tea Break
11H45 Session 2: Responsibilities of Key Individuals in terms of BN 194/2017
13H15 Lunch
14H00 Session 3: Responsibilities of Key Individuals in terms of BN 194/2017 (continued)
15H00 Conclusion

 

Brought to you by Moonstone and hosted by:

Paull Lawrence

Paull has been involved in the Financial Service Industry since 1977, when he joined Old Mutual. In the 25 years he spent there, he Developed computer systems, Facilitated Systems Development and Enterprise Development. He also acted as an Advisor to the COO, and was the Relationship Marketing Manager. Paull was an Authorised Financial Services Provider for 5 years and is currently employed by Moonstone Compliance where he performs external Compliance Consulting. Paull is the Chair of the Regulatory Examination Appeals Committee, Chair of the Regulatory Examination Question Revision Team, he is an FSCA approved Regulatory Examination question developer and moderator and is also a FAIS Subject Matter Expert.