The big focus coming from the FCSA and FIC our regulatory bodies this past quarter was the drive to ensure accountable institutions clients are FICA compliant. This included ensuring that a client is also risk rated and this needs to be evidenced and stored electronically and readily available should the FSCA or FIC request such information.

We believe we comply 100% with the above requirements, but made a business decision to run a project to remediate all our clients on our license. This project was launched in October and will run for the next ten months.

The Client Administration Team also welcomed some new faces. Florian and Nicole joined the Commissions Team and are already adding immense value. The latest member to join the team is Amy who has also slotted in seamlessly.

We expect a massive Q4 with several Merger and Advisory deals kicking off, but the team is always ready to provide the professional support required to our Wealth Teams and Advisory Partners.