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Compliance

Futurity Wealth Management have appointed Simply Comply. as our dedicated provider of compliance risk management services. Simply Comply have a national footprint and provide a wide range of compliance services to fulfil our regulatory compliance needs as required by the Financial Services Conduct Authority.

Simply Comply are able and willing to provide a fair, value-driven and independent service to ourselves, thereby providing Futurity Wealth Management with the compliance-related assurance so that we can pursue our strategy in a risk mitigated environment.

The successful implementation of this compliance-related risk management has enabled Futurity Wealth Management to ensure compliance with the Companies Act, POPI, NCA, FICA, Consumer Protection Act and labour legislation.

The ultimate outcome of good governance and compliance is to implement, maintain and ensure a Compliance Programme consisting of Four Aspects:

  • Demonstrating Compliance with Regulations

  • Embedding Compliance Within the Organisation

  • Managing the Cost of Compliance

  • Identifying, Addressing and Resolving Regulatory Failures

 

Our Director of Compliance is Dawn Julyan CFP®, B.Proc (Admitted Attorney) B.Soc.Sci (Ind Psych), B.Proc (Admitted Attorney), B.Soc.Sci (Ind Psych), Post Grad Diploma Financial Planning (UOFS), Cert.Econ (Potch); Compliance Cert. (UCT); Cert.in Legal Practise(UNISA), +27 (0)82 411 7616, +27 (0)12 998 7938, dawn@legal1.co.za