Rethinking compliance for a modern brokerage

As South Africa’s financial services sector stands on the brink of the Conduct of Financial Institutions (COFI) Act, the compliance conversation has shifted. No longer a distant regulatory reform, COFI is moving steadily toward promulgation, and with it comes a fundamental recalibration of governance, accountability and business conduct across the industry.

In this timely and thought-provoking session, leading industry voices unpack what COFI really means for Financial Services Providers, not just in theory, but in practice.

Anton Swanepoel brings strategic clarity to the transition from FAIS to COFI, challenging businesses not to wait for promulgation but to begin preparing now. His central message is clear: compliance should not trigger panic, it should prompt planning. By breaking the “elephant” of COFI into manageable components, businesses can transform regulatory burden into structured, competitive advantage.

Jaco Moolman reinforces the operational reality: culture, reporting, risk registers and documented processes are no longer administrative exercises, they are the backbone of license protection, reputational resilience and long-term sustainability. Compliance maturity, he argues, begins with leadership accountability and ends with measurable client outcomes.

Together with technology insights from Sean Barrett and Craig Grasko, the discussion bridges strategy and execution, demonstrating how governance, workflow systems and embedded reporting can turn compliance into a structured, technology-enabled discipline rather than an overwhelming afterthought.

Key themes explored include:

Why waiting for COFI promulgation could prove costly
The shift from rule-based compliance to conduct-based accountability
Proportionality and what it may mean for small versus large FSPs
Embedding culture and governance at governing body level
The strategic role of compliance officers
Leveraging technology to ensure consistency, auditability and traceability
Using compliance as a trust-building and competitive differentiator

At its core, this webinar reframes compliance from a defensive obligation to a proactive leadership discipline. The question is no longer “How do we survive COFI?” but rather, “How do we use COFI to build stronger, more resilient businesses?”

For advisors, executives and compliance professionals navigating regulatory fatigue, this recording offers both perspective and practical direction on how to prepare, prioritise and lead with confidence into the next phase of industry evolution.

The session speakers: