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 * About
 * Fais Fit & Proper Management
 * Outsourced Assessment Services
 * Financial Market Series
 * Contact
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MANAGE COMPLIANCEENGAGE WITH RAPIDLY CHANGING FINANCIAL MARKETSONLINE SOLUTIONS
THAT REDUCE RISKENGAGE WITH RAPIDLY CHANGING FINANCIAL

Contact us


Reduce risk and streamline processes with

Plumb Line Risk Alignment


ASSESSMENT HOSTING SERVICES

We facilitate online assessments for both compliance and product exams in the
financial services industry. We handle the full process including testing,
results and reporting.


FAIS EXCHANGE: ONE PLATFORM. ALL PRODUCT ASSESSMENTS.

The goal of the the FAIS Exchange to is to provide the independent financial
adviser with one product assessment platform, which houses all the FSPs’ major
product exams.


PLUMB LINE FINANCIAL MARKETS SERIES

A training series that introduces the fascinating, complex and rapidly changing
world of financial markets. Empower yourself with easily explained and commonly
encountered financial market terminology.

ABOUT US



Founded in 2001, Plumb Line Risk Alignment was formed to assist financial
services businesses with digital operational risk management tools and advisor
training, assessment and education.

We offer cost-effective digital solutions to streamline various processes within
the industry which greatly reduces risk.

Our vision is based on the principle of the plumb line, a tool used by builders
to ensure that their newly-built walls are aligned to the entire structure.
Plumb Line equates the corporate world to this building principle. If people and
processes – the “bricks” – are not aligned with corporate culture and industry
legislation (the building), the structure will be unstable.

Plumb Line reduces the potential for instability by minimising your operational
risk. We do this by creating easy-to-access digital platforms that can be
accessed remotely by all parties.




OUR TEAM



Plumb Line is made up of a team of experts from the financial services industry
with years of collective experience that we combine with tech-savvy insights and
digital know-how.

Our team understands what operational risk management entails. Our products and
services have been carefully and systematically developed to add value and to
streamline compliance and product assessments so as to minimise risk for service
providers. We also help train and empower financial advisors.



FAIS FIT & PROPER MANAGEMENT



The Financial Sector Conduct Authority (FSCA) is the government of South
Africa’s financial regulatory agency responsible for the financial services
industry in South Africa. It is an independent body that supervises and
regulates the financial services industry in the public interest.

As this body strives to raise the bar of professionalism in the financial
services industry, there has been a large impact on service providers to ensure
their representatives comply with all new (and ever adapting) legislative
requirements.

If you are tasked with the responsibility of managing your company’s compliance
around Fit and Proper, you will know that managing qualifications and deadlines
across categories for multiple users can be tricky. Not to mention all the
exemptions, extensions, experience and supervision.



OUTSOURCED ASSESSMENT SERVICES



Key advantages

• Examination software is specialised and requires experienced staff that will
be able to periodically assess and adapt the software according to company and
industry changes. Recruiting and retaining staff to manage an in-house
examination platform can be very costly and finding suitable replacement staff
is not easy. Plumb Line provides continuity when it comes to examinations
management and has the expertise to adapt software when changes are required.

• Field staff and staff at branches do not always have access to the corporate
IT platform, which creates an obstacle to taking their exams. Plumb Line’s
outsourced online examination services make it possible for all staff to
complete their exams at a time that suits them. All results are exported to the
client’s HR system (ORACLE, SAP and People Soft) for record purposes.

• Turnaround time could be a risk when examinations are managed in-house. Plumb
Line has a comprehensive service level agreement in place with each client that
determines the type, as well as the level of service and turnaround.

• Off-the-shelf examination software products will not provide the optimum
solution to all businesses. Plumb Line is able to customise our service offering
and end-user experience to meet client specific needs.



FINANCIAL MARKETS SERIES



Our systematically developed Financial Markets training series introduces the
fascinating, complex and rapidly changing world of financial markets to both
beginner and intermediate advisors, as well as aiding experienced advisors with
add-on training resources.

We empower prospective and current financial advisors with commonly encountered
terminology, legalities and systems, helping them stay on top of their game.


COLLECTIVE INVESTMENTS


COLLECTIVE INVESTMENTS

Delve into in-depth coverage of an industry that receives widespread publicity,
particularly when performance figures are released each quarter.

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COLLECTIVE INVESTMENTS: ADMINISTRATION


COLLECTIVE INVESTMENTS: ADMINISTRATION

The primary focus of this module is to introduce the administration process of
the collective investment schemes industry in South Africa.

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COLLECTIVE INVESTMENTS: COMPLIANCE


COLLECTIVE INVESTMENTS: COMPLIANCE

This module takes an in-depth look into how compliance relates to and regulates
the collective investment scheme industry.

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COLLECTIVE INVESTMENTS: MARKETING


COLLECTIVE INVESTMENTS: MARKETING

Initial focus is on the regulation and requirements of marketing of collective
investment schemes.

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MONEY LAUNDERING


MONEY LAUNDERING

The primary focus of the Money Laundering module is to summarise the
development of anti-money laundering legislation in South Africa.

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INTEREST-BEARING SECURITIES


INTEREST-BEARING SECURITIES

The Interest-Bearing Securities module offers the learner detailed insight
into the bond market and money market.


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INTERNATIONAL INVESTMENTS


INTERNATIONAL INVESTMENTS

The International Investment module introduces the learner to the world
of foreign exchange and international investment.

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INVESTMENT PERFORMANCE


INVESTMENT PERFORMANCE

Plumb Line’s Investment Performance module offers the learner a deeper
look into the world of performance calculation and returns.

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CUSTODY I


CUSTODY I

This is the first of a two-part module. The first section describes the markets
that have developed for the trade of financial assets globally and in South
Africa.

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CUSTODY II


CUSTODY II

The Custody II module is the second in a series of two modules that deal with
the custody function.

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DERIVATIVES


DERIVATIVES

The seven-topic module starts with some background on the development of
derivatives. The focus then shifts to specific types of derivative instruments.

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EQUITIES


EQUITIES

The module comprises of four topics and commences with a review of the financial
markets and different types of business ownership.

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INTRODUCTION TO FINANCIAL MARKETS


INTRODUCTION TO FINANCIAL MARKETS

The Introduction to Financial Markets module comprises 15 topics introducing
the learner to the fascinating, complex and rapidly changing
world of financial markets.

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