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Regulatory Exams

There has been a lot of discussion relating to the Regulatory Exams that must be written by all financial services providers by June 2012.

Click here for  a short summary of the requirements and details of the exams that must be written by each Key Individual and Representative.

New Products
  • Guide to the 2011 Compliance Report for Category I Providers with a Compliance Officer
     
  • Risk Management - Guide to Essential Procedures
     
  • Risk Management Procedures Manual
     

Click here to Read More.

New Board Notices
  • The 2010 Compliance Reports have been added to our list.
     
  • Board Notice 74 of 2009 - Levies on Financial Institutions
     
  • Our Comments on Board Notice 74 of 2009
     
  • Board Notice 37 of 2009 - Notice on Requirements for Professional Indemnity and Fidelity Insurance Cover for Providers, 2009

Please click the link below to view all Board Notices and to download your copy of the 2009 Category I Compliance Report

Click here to view all Board Notices.


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Sign up for alerts, news and comments on current happenings.

These are delivered infrequently and only when something important needs to be communicated . . .

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About Us

The cast of Compliance Monitoring Systems CC are all part of the Holton family. They realized some time ago that the synergy of a lawyer, an accountant and two IT specialists all in the same family was fairly unique.

With this in mind and taking into account their experience in the Compliance arena (especially FAIS) it led to the development of the CMS system.


 

Alan Holton

Matriculated from Pretoria Boys High School many years ago . . .

Alan holds a B.Iuris from UNISA and an H.Dip.Tax from Wits. He is a qualified attorney, a registered External Compliance Officer and a member of the SA Compliance Institute.

Alan was a director and subsequently and associate consultant of Efcon (Pty) Ltd in Johannesburg, a financial planning company that specialised in tax efficient corporate investments and employee benefits. In June 2004 Alan was asked by PWC to assist in the roll-out of FAIS compliance familiarisation and registration.

Since that date he has been actively involved as an external compliance officer and has assisted clients in the design and implementation of compliance systems and structures.

The underlying philosophy behind all he does is to keep things as simple as possible.

Robin Holton

Also matriculated from Pretoria Boys High quite a few years ago.

He holds a B.Compt. from UNISA and is a registered External Compliance Officer. Robin spent many years in general management within the corporate environment, the last 18 years of which were spent as the General Manger of Spoor & Fisher, a large law firm specialising in Intellectual Property.

In 2006 Robin decided the time was right for new challenges and joined CMS. He is in charge of general management including the accounting function and administration.

Gareth Holton B.Compt

Gareth is responsible for the technical design of the IT systems developed and implemented by CMS, as well as the database administration.

He is also jointly responsible for the development of these solutions. Gareth started his career as an IT developer, and quickly moved into the role of a lead developer, before branching off into systems analysis and design.

His experience in IT systems include (amongst others): financial solutions, debtor's finance solutions, insurance management solutions and integration solutions.

Dalan Holton MCSE, MCP

Dalan is responsible for the running, maintenance and ongoing development of the CMS website.

He has been involved in the IT industry for the past 15 years.

He has been actively involved in many aspects of the IT Industry including programming, retail, networking, hardware, graphic design and website design.


None of them collect stamps or butterflies and only one plays golf. One never watches any sport on TV (not even rugby) and one is really into motor racing. All four are SCUBA divers. Three have pilot’s licences and two have black belts in karate. One has a dog named Kat.