Cofi Compliance FAIS specialists

FAIS compliance, implemented

Keep the licence.
Prove the work.

Specialist FAIS support for financial services providers that need to obtain, maintain and defend their licences—with practical controls, tested client files and evidence that stands up to scrutiny.

Explore the FAIS model See engagement options
One specialist focus FAIS From authorisation to remediation
6FAIS control areas
5ways to engage
1integrated evidence pack
Designed around the work an FSP actually performs.

Start with the pressure point

What needs to be controlled today?

Choose the business situation in front of you. We map it to the right FAIS work, evidence and next action.

01

We need an FSP licence.

Scope the activities, categories, people and application evidence.

Licence launch 02

Our licence or people changed.

Control KIs, representatives, product categories and profile changes.

Licence change 03

We need ongoing assurance.

Run a repeatable monitoring, evidence and reporting rhythm.

Licence maintenance 04

We are unsure about our advice files.

Test disclosures, needs analysis, advice records and representative quality.

File assurance 05

The FSCA has asked questions.

Organise the response, reconstruct evidence and manage remediation.

Regulatory response

The FAIS operating model

Six controls. One defensible licence.

Our services follow the lifecycle of regulated work—from authorisation and appointments to advice, monitoring and remediation.

Control 01 · Permission

FAIS Licensing & Licence Changes

Make sure the licence covers the business being conducted—or planned.

Activities

  • New FSP applications and readiness
  • Category and financial-product scoping
  • KI, representative and profile changes
  • Operational-ability and financial-soundness evidence
  • FSCA queries and correspondence support

Evidence delivered

  • FAIS Licence Scope Map
  • Application or amendment pack
  • Licence-condition register
  • FSCA correspondence tracker
Typical trigger

“We are applying, adding a product category, changing a KI or correcting our FSCA profile.”

Ongoing compliance service

FAIS Licence Maintenance

Not a calendar of visits. A visible operating rhythm that keeps the licence, people, client files and remediation under control.

Quarterly assurance One view of the licence position.
01

Monthly control

Keep current

  • Changes and deadlines
  • People and competence
  • Issues and escalations
02

Quarterly assurance

Test the work

  • Advice-file sampling
  • Conduct and complaints
  • Monitoring and remediation
03

Annual health check

Re-prove the licence

  • Licence-to-activity map
  • Fit and Proper review
  • Control-framework refresh

Every quarter, the KI or board receives

Licence position People status File-review results Complaint themes Open remediation Decisions required

Ways to engage

Buy the outcome, not the acronym.

Choose the engagement that matches the outcome your business needs now.

Project01

FAIS Licence Launch

For a business preparing to apply for authorisation.

  • Activity and category scoping
  • Application evidence pack
  • FSCA query support
Discuss Licence Launch
Project02

FAIS Licence Change

For an FSP changing its products, people or regulated activities.

  • Scope and impact review
  • Profile-change pack
  • Register reconciliation
Discuss a licence change
Retainer03

Recommended

FAIS Licence Maintenance

For an FSP that needs repeatable monitoring and management visibility.

  • Compliance rhythm
  • Quarterly testing
  • KI or board assurance pack
See the maintenance model
Review04

FAIS Advice File Assurance

For an FSP that needs independent visibility over representative work.

  • Risk-based file sample
  • Error and conduct analysis
  • Corrective coaching plan
Discuss file assurance
Response05

FAIS Regulatory Remediation

For an FSP responding to a query, finding or historic control weakness.

  • Evidence reconstruction
  • Corrective action plan
  • Closure testing
Discuss regulatory remediation

Our specialist focus

FAIS is our field.

We stay accountable for the FAIS work we are appointed to perform. If that work identifies a material obligation outside our specialism, we flag it clearly and recommend the appropriate next step.

What we do

We implement, test and evidence FAIS controls.

  • Licence and profile
  • KIs, representatives and supervision
  • Fit and Proper and competence evidence
  • Advice, disclosures and recordkeeping
  • Complaints, conflicts and conduct
  • Monitoring, reporting and remediation
When another specialist is needed

We identify the issue and help you route it correctly.

  • FICA programme implementation
  • POPIA implementation and privacy advice
  • Cybersecurity and IT control operation
  • Legal representation and legal opinions
  • Tax, accounting and audit services
  • Non-FAIS regulated-sector work

Why Cofi Compliance

Focused scope.
Deeper evidence.

01

Activity-led

Services follow the regulated work performed by the FSP.

02

Evidence-led

You know what evidence your business will be able to produce afterwards.

03

File-level

Advice quality and representative behaviour sit at the centre.

04

KI-visible

Reporting translates findings into accountable decisions.

Next step

Make your FAIS licence easier to defend.

Start with a focused consultation. Tell us whether you are applying, changing your licence, maintaining ongoing compliance, testing advice files or responding to a regulatory concern.

Book a FAIS consultation hello@coficompliance.com