We provide an easy to use base FICA (Financial Intelligence Centre Act) Risk Management and Compliance Policy. This enables you to easily comply with the Financial Intelligence Center rules requiring you to have such a policy.
This general RMCP will work with any accountable institution and only certain sections have to be edited to be customized to your business, but we provide full instructions.
Remember you need to make sure that the policy is used and adapted to how you do business. If you do not comply with what it says you do in practice you may face fines.
Ensure you edit all items in the policy as indicated and also ensure that all text in blocks is reviewed and edited.
It includes
- RMCP Policy
- Annexure 1A - Central Client List
- Annexure 1B - Onboarding Questions
- Annexure 1C - Client Risk Matrix
- Annexure 1D - Due Diligence Checklist
- Annexure 1E - EDD Questionnaire for Clients
- Annexure 2A - Employee Risk Matrix
- Annexure 2B - Central Employee List
- Annexure 2C - EDD Questionnaire for Employees
- Annexure 2D - Integrity Questionnaire for Employees
- Annexure 3 - Reporting Form
- Annexure 4 Board Resolution
If you need extra assistance please contact us on hello@horizoncompliance.co.za !