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  The CEO has to specifically address the compliance requirements and make it part of every senior executive’s contract and compensation plan. Once it is in writing, the CEO has to direct specific tasks, as needed, for the senior leadership team. Some companies include a requirement that each executive complete a specific task from a list of possible tasks, or as directed by the CEO. The expectations for promoting compliance have to be real and concrete. It is not enough to use fluff language like demonstrates a commitment to ethics and compliance. Real tasks and assignments have to be handed out and completed.
Source: Michael Volkov, Volkov Geoup
Are you revisiting your value proposition to clients in light of RDR?
Yes definitely
We have just started to think about it
We have completed our RDR project already
No havent given it much thought
No what does RDR stand for again?

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No 3. TCF has not gone away- Some people seem to feel that with the advent of RDR, the Treating Customers Fairly (TCF) programme has gone into the background and will likely not really feature going forward. This is a tragic error on their part as TCF is not simply one piece of legislation or a vague set of guidelines or principles; it is an overarching conduct structure of which the retail distribution is a key component.

No 2. Get to know RDR-stakeholders in the financial services industry find time to understand the proposals set forth by the Financial Services Board (FSB). You should also try and stay up to-speed with subsequent updates issued by the Regulator giving more detail on how they are thinking in respect of their initial 55 proposals

No 1.Get professional advice- It never ceases to amaze me that Financial Service Providers pay good money for lawyers and accountants and then head for the bargain basement for a compliance officer to guide them on regulatory compliance. Compliance is a profession and you should seek out a professional for advice. Most professional compliance officers are members of the Compliance Institute of South Africa. This should be one of your first ports of call when you are looking for compliance professionals to assist you in managing regulatory risks.

Source: Compli-Serve SA

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  • Offers professional support and services to financial professionals, thus enabling businesses to meet the increasing challenge of regulatory compliance risk in today's environment.
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