arrow_back Back to Simply SaaS The Problem Platform Security Impact Book a walkthrough
location_onBuilt for FSCA-regulated FSPs and compliance organisations in South Africa

Fit & Proper
Compliance Management

Safeguards the FSP · Enlightens the Compliance Officer · Empowers the Key Individual · Informs the Representative

One system of record for representatives, Key Individuals, CPD, qualifications, declarations, supervision, audits and the FSCA register — for one FSP or fifty.

Book a 20-minute walkthrough Explore the platform →
hub FAIS Compliance Universe — every fit & proper obligation, connected
The Reality

Your compliance is only as strong as
the system behind it

Board Notice 194 of 2017 created personal liability for the Key Individuals and compliance officers responsible for meeting its requirements. For most firms, the system holding all of this together is a spreadsheet — and, for compliance organisations carrying many licences, dozens of them.

warning_amber

Audit risk is real

FSCA findings increasingly cite inadequate record-keeping, lapsed fit and proper status, and incomplete audit trails. The FSCA register changes without warning, and a record that no longer matches it is a finding waiting to happen. A finding against the FSP is a finding against the person who signed the licence.

table_chart

Spreadsheets age badly

Manual tracking creates visibility gaps the moment someone forgets to update a row. CPD cycles, RE deadlines, qualification expiries, declaration periods, authorisations per FSP — one mistake and the record is wrong.

schedule

Compliance officers are administrators

The hours spent chasing CPD certificates, collating evidence for reviews, running audits from Word templates and maintaining manual registers are hours not spent on actual compliance work. That cost is real — and invisible in most firms.

"What compliance officers lose sleep over isn't a lack of knowledge about the requirements — it's a lack of visibility into whether they're being met. Who has lapsed? Who is about to? Can we prove it if asked today?"

The Complii Difference

One platform.
Every stakeholder.

Complii Next was built to serve every person in the compliance chain — each with a different need, each with something to lose when the system fails.

security
Safeguards
the FSP

Audit-ready records and cryptographic evidence that protect the licence — and the person whose name is on it. An audit is a morning's work, not a fortnight of reconstruction.

visibility
Enlightens
the Compliance Officer

Real-time visibility across the entire firm. Deadlines tracked automatically. Gaps surfaced before they become findings. No more reactive compliance — only proactive control.

key
Empowers
the Key Individual

Personal regulatory liability managed proactively. Evidence on hand before the inspector asks. The KI can go home Friday knowing the firm's records are accurate, auditable, and defensible.

info
Informs
the Representative

A clear personal compliance dashboard from day one. CPD progress, RE status, declaration obligations — all visible. No compliance surprises. No missed deadlines because no-one told them.

The Platform

Everything the compliance chain needs,
in one system of record

From the FSCA register to the individual representative's CPD hours, Complii Next connects the records that spreadsheets keep apart — and proves them when asked.

fact_check

Configurable Audits

Build any audit your firm needs — advice file reviews, compliance assessments, or your own. Design the template (sections, questions, answer options, risk weights, scoring bands), run it against a representative, Key Individual or an entire FSP, and get findings, a report and follow-up tasks. Advice and compliance audits are simply templates you configure.

Audits
sync

FSCA register sync & compare

Scheduled, per-firm sync with the FSCA register across every FSP you administer. Compare the register against Complii, import staff, and see an audit trail of every change between scans — reps added or removed, subcategory authorisations, supervising KIs.

FSCA register
verified_user

Fit & proper, tracked end to end

Representatives and Key Individuals with qualifications, regulatory exams (RE1/RE5), Class of Business training, DOFA dates and subcategory authorisations. Scripted-only representatives are recognised under Board Notice 194 s22(b)(ii).

People & status
school

Qualification recognition

The FSCA qualification recognition grid is built in. See, per subcategory, whether a representative's qualification gives generic, specific or no recognition — and where the gaps are.

Qualifications
event_repeat

CPD cycles that keep themselves current

Targets calculated from each person's authorisations, kept in sync as their circumstances change. Reminders at configured thresholds, evidence verification, and one-click exports.

CPD
draw

Declarations & e-signature

Assign declaration cycles, notify staff and track completion. Declarations and supervision records carry HMAC-SHA256 evidence you can verify on demand. E-sign for agreements and policies.

Evidence
supervisor_account

Supervision

Supervision periods, supervisors and quality-review write-ups of advice files, with cryptographic proof of who submitted and completed what, and when.

Supervision
account_tree

Multi-FSP & compliance organisations

One tenant, many licences. Group FSPs, scope each user to the FSPs they are responsible for, and filter every Insights view by FSP. Built for compliance practices carrying dozens of FSPs, as well as single-FSP firms.

Multi-FSP
insights

Insights that explain themselves

Every number is clickable: open it and see exactly which people make it up, then go straight to their record. Compliance status, CPD, declarations, audits, complaints, the competence register, FSCA compare and more — with Excel export and a compliance snapshot emailed to the people who need it.

Reporting
menu_book

Registers & records

Complaints register, gift register and competence register — with Excel export — alongside a compliance calendar, a knowledge base, required reading and staff notes.

Registers
smart_toy

Aiven, your built-in assistant

Ask where to find something, or how to do it, in plain language. Aiven knows the platform and answers for your firm and your permissions.

Assistant
local_hospital

CMS accreditation validation

For health service benefits representatives, accreditation is checked against the Council for Medical Schemes register, synced daily, with an on-demand refresh. Accreditation numbers populate the profile automatically.

CMS
phone_iphone

Lite mobile view

A phone-first, self-service view for representatives: progress rings for CPD, Class of Business, RE, qualifications, declarations and gifts. Log CPD or a gift in a couple of taps, acknowledge required reading, and open their tasks.

Mobile
lan

Organisation structure & access

Model your firm as branches, teams and FSPs. Roles and permissions attach to the structure, so people see only their part of it. An interactive organogram shows who holds which role where.

Structure
Also included
Global search (Ctrl+K)Dark modeAssistant delegationBulk imports from spreadsheetsDeadline reminder templatesProduct providers & adviser codesSpecialitiesDrag-and-drop uploadsFirm logos on reportsAssignable rights per roleAUM configuration
Optional modules

Switched on per firm, so you only take what you use.

how_to_reg

Staff Onboarding & Vetting

Pre-staff application records, document pockets, FSCA debarment check and DOFA report inspection. Approve, then convert to a staff member. Optional AI-assisted DOFA reading is available only with your permission, and a Compliance Officer confirms every value before it is applied.

handshake

CRM

Contacts, policy book and claims, saved audiences and campaigns. Included only for firms that take the module.

lock_open

Single Sign-On

Sign in with your own identity provider, including Microsoft Entra.

cast_for_education

Learning (LMS)

Courses and required reading assigned and tracked against the same staff records.

Operational Impact

The shift from reactive
to proactive

Click any scenario to see what changes.

New representative onboarding
See the difference ↓
Before

HR notifies compliance. Spreadsheet updated manually. CPD target calculated by hand. Declaration list updated. Outlook reminder set. RE deadline noted in a separate tracker.

CPD deadline season
See the difference ↓
Before

Compliance officer emails all reps. Chases non-responses individually. Updates the spreadsheet with confirmations. Exports a summary manually for management.

Qualification or CoB verification
See the difference ↓
Before

Staff member emails a scanned certificate. Compliance officer downloads, reviews, replies by email, updates the spreadsheet. Certificate stored in an email thread.

FSCA supervisory review
See the difference ↓
Before

Compliance officer spends days collating records across spreadsheets, email archives, and shared drives. Data gaps discovered under pressure.

The FSCA register changes overnight
See the difference ↓
Before

Someone checks the FSCA website, rep by rep, now and then. A removed authorisation or a flipped status is found at the next review — or by the FSCA.

Running an advice or compliance audit
See the difference ↓
Before

Questions live in a Word template. Answers come back by email, scoring is inconsistent, and follow-up actions get lost.

The compliance burden doesn't disappear. It becomes manageable — and auditable.
That is the difference between a finding and a clean audit.
The Commercial Case

SaaS — not a capital project

No upfront investment. No implementation project. No version lock. Simply SaaS hosts, maintains, secures, and updates Complii Next — so your team uses the platform, not manages it.

01

Operational expenditure — not capital commitment

Subscription-based, sized to your representative and KI count. Grows with your firm. Predictable cost, no procurement cycles, no board approval for an upgrade.

02

Always on the latest version

New features, regulatory updates, and extended integrations — available to all clients without upgrade projects or additional licence negotiation.

03

No implementation risk

No six-month deployment project, no dedicated project manager, no systems integrator. Firms are operational in weeks, not quarters.

04

Infrastructure managed for you

Hosting, maintenance, security patching, backups, and uptime are Simply SaaS's responsibility — on Microsoft Azure's South African infrastructure, governed by a Service Level Agreement.

The alternative to a SaaS compliance platform is not "no cost." It is the hidden cost of spreadsheet maintenance, manual tracking, staff time spent on administration, and the personal liability that accumulates when records fall behind.

Subscription-based pricing on enquiry — sized to your firm.
Security & Data Protection

A compliance platform
must itself be defensible

location_onZA
Hosted in South Africa. On Microsoft Azure. Your firm's data never leaves South Africa. For firms with POPIA obligations, data residency is a compliance requirement in its own right. Azure's South African infrastructure provides enterprise-grade uptime, automated backups, and geographically redundant storage.
check
Encryption in transit and at rest HTTPS enforced with HSTS. All data at rest encrypted at infrastructure level. Database connections require SSL.
check
Mandatory MFA — every user, every login Email OTP, 6 digits, 5-minute expiry, hashed at rest. 3 wrong attempts = locked. 10 failed passwords = account locked. Admin invite only — no public sign-up.
check
Layer-scoped role-based access control Permissions are discrete capabilities. A Gauteng compliance officer cannot access Western Cape records. Representatives see only their own profile.
check
Immutable audit trail Every change logged: what changed, from what, when, and by whom. Cannot be silently overwritten. Real administrator identity always recorded.
check
Cryptographic evidence integrity Declarations and supervision records stored with HMAC-SHA256 hash, server-side IP, and timestamp. "Hash matches" or "Tamper detected" on demand.
check
Aligned with POPIA principles Personal information accessible only within permissioned scope. Personal information is not passed to AI systems; the only exception is optional AI document reading in the Onboarding module, used only with the client's permission. Sensitive data not exposed in URLs, logs, or error messages.
check
Firm-level data isolation Every firm's records are separated at database level, so one firm's data cannot be read by another — even by a faulty query.
check
Single Sign-On and login audit trail Optional SSO with your identity provider. Every sign-in, failure and lock-out is recorded and visible to administrators.
We do not claim certifications we do not hold. The security posture of this platform was designed to be defensible — because the firms using it need it to be. All critical and high findings from the most recent full-codebase security review (May 2026) have been resolved.
About Simply SaaS

Built in South Africa.
For South African FSPs.

Simply SaaS builds compliance and operations platforms for FSCA-regulated financial services firms. We build for the South African market — not for a generic international market that includes South Africa as an afterthought.

Our products are designed around FAIS legislation, FSCA supervisory requirements, and the operational reality of compliance teams in South African FSPs. Complii Next is our Fit & Proper management platform — and it is built on a modular foundation that grows with your firm's needs.

Complii Next is built on Google's Material Design 3 standard — the same design language used across millions of business applications worldwide. Staff encounter a clean, familiar interface from day one. Dark mode supported throughout.

A Simply SaaS Product
Hosted in South Africa
Microsoft Azure Infrastructure
Next Step

Ready to take the next step?

No slide deck. No scripted pitch. Just the platform, running on your questions.

Book a 20-minute walkthrough

We'll show you Complii Next working against a realistic FSP scenario — your team size, your compliance obligations, your regulatory context.

email software@simplysaas.co.za language simplysaas.co.za
Request a walkthrough →
check_circle Subscription-based pricing on enquiry
check_circle No capital investment required
check_circle Operational in weeks, not quarters
check_circle South African data residency
check_circle Microsoft Azure infrastructure
check_circle Built for Board Notice 194 of 2017