Compliance
In line with the requirements of the Financial Sector Conduct Authority (FSCA), the Financial Advisory and Intermediary Services (FAIS) Act, and all applicable regulatory frameworks governing the financial services industry, Zororo Phumulani Investments (Pty) Ltd has established and maintains a comprehensive Compliance Framework.
This framework sets out our commitment to conducting business in a lawful, ethical, and transparent manner, ensuring that all operations, products, services, and interactions with clients meet regulatory obligations and industry best-practice standards.
The Compliance Framework outlines the roles and responsibilities of management, employees, and compliance oversight functions in identifying, managing, and mitigating regulatory and conduct risks. It also defines the policies, procedures, and controls implemented to ensure ongoing adherence to legislative, regulatory, and contractual requirements.
Zororo Phumulani recognises that effective compliance is integral to protecting clients, maintaining trust, and safeguarding the integrity and sustainability of the organisation. Through continuous monitoring, training, and review, we strive to uphold the highest standards of governance, accountability, and professional conduct in all aspects of our business.
