Compliance with
Smartin Compliance provides independent, external compliance support to businesses operating across South Africa.
Our specialities:
FAIS
FICA
POPIA
UK
Financial Advisory and Intermediary Services Act, 2002
FAIS governs the rendering of financial advice and intermediary services in South Africa. It purpose is to protect customers by ensuring that FSPs act with integrity, transparency and in the best interest of their clients.
At Smartin Compliance, we support companies wanting to license and assist authorised FSPs and Key Individuals meet their FAIS obligation with confidence and clarity.
Our FAIS compliance services include:
Ongoing FAIS compliance monitoring
Advice and Intermediary services oversight
Key Individual and Representative support
Fit and Proper requirements assessments
Regulatory reporting and FSCA engagement
Creation or review of policies, procedures and record keeping frameworks
Our specialities:
FAIS
FICA
POPIA
UK
Financial Advisory and Intermediary Services Act, 2002
FAIS governs the rendering of financial advice and intermediary services in South Africa. It purpose is to protect customers by ensuring that FSPs act with integrity, transparency and in the best interest of their clients.
At Smartin Compliance, we support companies wanting to license and assist authorised FSPs and Key Individuals meet their FAIS obligation with confidence and clarity.
Our FAIS compliance services include:
Ongoing FAIS compliance monitoring
Advice and Intermediary services oversight
Key Individual and Representative support
Fit and Proper requirements assessments
Regulatory reporting and FSCA engagement
Creation or review of policies, procedures and record keeping frameworks
Our specialities:
FAIS
FICA
POPIA
UK
Financial Advisory and Intermediary Services Act, 2002
FAIS governs the rendering of financial advice and intermediary services in South Africa. It purpose is to protect customers by ensuring that FSPs act with integrity, transparency and in the best interest of their clients.
At Smartin Compliance, we support companies wanting to license and assist authorised FSPs and Key Individuals meet their FAIS obligation with confidence and clarity.
Our FAIS compliance services include:
Ongoing FAIS compliance monitoring
Advice and Intermediary services oversight
Key Individual and Representative support
Fit and Proper requirements assessments
Regulatory reporting and FSCA engagement
Creation or review of policies, procedures and record keeping frameworks
Our clients:
Tailored support for:
Startups building compliance from the ground up
Startups building compliance from the ground up
Startups building compliance from the ground up
Small FSPs seeking practical, scalable solutions
Small FSPs seeking practical, scalable solutions
Small FSPs seeking practical, scalable solutions
UK-based financial services companies
UK-based financial services companies
UK-based financial services companies
Offshore firms entering the South African market
Offshore firms entering the South African market
Offshore firms entering the South African market
About us:
Meet Steph
Founded by Stephanie Martin, a registered South African Compliance Officer and holder of the CISI Diploma in Investment Compliance (UK), we bring over 8 years of experience across South African and UK regulatory environments.
Our strength lies in bridging international standards with local requirements with clarity, precision, and integrity.
Driven by a commitment to ethical business practice, we take an approachable, no-nonsense style to compliance of working alongside you, not above you. From documentation to implementation, we roll up our sleeves to get it done right.
Registered South African Compliance Officer
Registered South African Compliance Officer
Registered South African Compliance Officer
8 years of experience
8 years of experience
8 years of experience
CISI Diploma in Investment Compliance (UK)
CISI Diploma in Investment Compliance (UK)
CISI Diploma in Investment Compliance (UK)
Industry recognised certifications
Industry recognised certifications
Industry recognised certifications
testimonials:
Tom Murphy
Compliance and Operations Manager, Canaccord Asset Management
Kate Munitz
Mark Diuga
"
I worked with Stephanie for two and a half years at Canaccord Genuity Asset Management in London whilst she was in her Compliance & Operations Analyst role.
Stephanie demonstrated her excellent work ethic along with her Compliance knowledge in the role. Moving from South Africa into this role required a great deal of adaptation both personally and professionally. Stephanie quickly used her transferable Compliance based skills to adapt to the UK regulatory framework and was a very keen and quick learner so was able to constantly develop her knowledge and skillset.
Along with demonstrating an expertise in the role, it was also a pleasure to have an individual like Stephanie within the team. Stephanie quickly gained the trust of fellow employees from various teams including the front office (fund management team). Stephanie always went the extra mile to help and support the colleagues and she is a true team player and professional.
Tom Murphy
Compliance and Operations Manager, Canaccord Asset Management
Kate Munitz
Mark Diuga
"
I worked with Stephanie for two and a half years at Canaccord Genuity Asset Management in London whilst she was in her Compliance & Operations Analyst role.
Stephanie demonstrated her excellent work ethic along with her Compliance knowledge in the role. Moving from South Africa into this role required a great deal of adaptation both personally and professionally. Stephanie quickly used her transferable Compliance based skills to adapt to the UK regulatory framework and was a very keen and quick learner so was able to constantly develop her knowledge and skillset.
Along with demonstrating an expertise in the role, it was also a pleasure to have an individual like Stephanie within the team. Stephanie quickly gained the trust of fellow employees from various teams including the front office (fund management team). Stephanie always went the extra mile to help and support the colleagues and she is a true team player and professional.
Tom Murphy
Compliance and Operations Manager, Canaccord Asset Management
"
I worked with Stephanie for two and a half years at Canaccord Genuity Asset Management in London whilst she was in her Compliance & Operations Analyst role.
Stephanie demonstrated her excellent work ethic along with her Compliance knowledge in the role. Moving from South Africa into this role required a great deal of adaptation both personally and professionally. Stephanie quickly used her transferable Compliance based skills to adapt to the UK regulatory framework and was a very keen and quick learner so was able to constantly develop her knowledge and skillset.
Along with demonstrating an expertise in the role, it was also a pleasure to have an individual like Stephanie within the team. Stephanie quickly gained the trust of fellow employees from various teams including the front office (fund management team). Stephanie always went the extra mile to help and support the colleagues and she is a true team player and professional.
the inside scoop
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