The Psyche of Compliance

A study in the psyche and nature of regulated compliance in the Financial Services and more specifically the Insurance Industry.

No statutory regulator or supervisory body should ever be immune from close scrutiny and valid inputs from those that it regulates. The book is an honest evaluation of statutory regulation of the industry with reference to the financial advisor / broker’s role in ensuring excellent service delivery and the role of the compliance officer in doing so.

It also aims to highlight inconsistencies in regulatory requirements and the subsequent effect it will have on the role and service delivery of the financial advisor / broker. It also highlights the inconsistencies and mistakes that Regulators are prone to make that may well be counterproductive to what the service delivery to customers should entail.