COFI Readiness for Small FSPs:

Join us for a practical and forward-looking webinar designed specifically for small financial services providers (FSPs) navigating an increasingly outcomes-based regulatory environment.

As the financial services industry prepares for the implementation of the Conduct of Financial Institutions (COFI) framework, the Financial Sector Conduct Authority (FSCA) continues to emphasise governance, customer outcomes, risk management, and evidence-based supervision. While many of these developments are often associated with larger financial institutions, they have important implications for sole proprietors and small FSPs.

This webinar focuses on what these developments mean in practice. Through practical examples and proportionate compliance solutions, attendees will gain insight into how they can strengthen governance, demonstrate regulatory readiness, and prepare their businesses for the evolving supervisory landscape – without the need for a dedicated compliance department.

By attending this webinar, participants will:

• Understand the regulatory direction of the FSCA and the significance of the transition towards the COFI framework.
• Identify the governance, conduct, and risk management expectations increasingly applicable to small FSPs.
• Understand what regulatory readiness means in an outcomes-based supervisory environment.
• Learn practical approaches to implementing governance and compliance measures appropriate to smaller practices.
• Leave with practical ideas that can be implemented immediately to strengthen compliance and governance.

This webinar is designed for:

• Sole proprietors; and
• Small FSPs (one key individual with one to two representatives).