Financial services compliance fails quietly. Nobody misses a deadline on purpose; they miss it because the deadline lived in a spreadsheet that nobody owned, and the person who did own it left.
CompliPath makes the deadlines structural. Every representative has a Date of First Appointment, and from that single date the system derives every obligation that follows — classes of business, regulatory exams, qualification, and the CPD cycle. Change the DOFA and every date recalculates.
Built on the framework, not around it
Phase one implements FAIS under Board Notice 194 of 2017, with the FSCA as regulator. The rules are not hard-coded: the licence-date label, CPD metric, cycle boundaries and register template all come from an industry configuration row. Adding a second regulated profession is a row, not a rewrite.
- DOFA-derived deadlines: classes of business at 12 months, regulatory exams at 24, qualification at 6 years
- CPD cycle running June to May
- CPD target set by the representative's classes of business — 6, 12 or 18 hours
- Supervision status tracked per representative
CPD that survives an audit
A representative logs an activity with the provider, the hours and the certificate. It counts for nothing until the Key Individual approves it. The log is append-only: a correction writes a new entry that supersedes the old one, so the history of what was claimed and when is never rewritten.
- Activities classified as regulatory, ethics, technical or business skills
- Certificate documents stored outside the web root and served through a checked route
- Key Individual approval, rejection with notes, and a full audit trail
- Immutable history — corrections supersede, they never overwrite
The Key Individual's view
A Key Individual carries personal regulatory accountability for the FSP. The dashboard is built for that: the whole register on one screen, ranked by what is closest to going wrong, with a red / amber / green status per person driven by the real deadline arithmetic rather than a manual flag.
- Every representative on the licence, with their live status
- Who is under supervision and when that supervision lapses
- CPD entries queued for approval
- Drill into any individual's full compliance position
The register, on demand
The output that matters is the representative register. It exports in the layout the framework expects, generated from live data at the moment you ask for it — so the version you hand over is never the stale copy someone saved last quarter.
- Per-industry register templates
- PDF export generated on demand from live data
- Automated alerting as deadlines approach, with de-duplication so people are not spammed
About this demo
You will be signed into the real product against a sandbox FSP licence — sixteen people on the register, live deadline arithmetic, and CPD entries genuinely awaiting approval. It is read-only: every screen and every export is open, but anything that would save or approve is held back with a note explaining what the live system would have done. The people and licence numbers are invented; no real FSP data appears here.
Where to start
Start as the Key Individual to see the whole FSP register and the people who are drifting out of compliance. Then switch to the Representative to see the same system from the other end — one person, their own deadlines, and nothing else. That contrast is the point.
- The full representative register for the FSP
- Who is under supervision and when it lapses
- RE5, RE1, class-of-business and qualification deadlines
- CPD entries awaiting approval
- The exportable FSCA-ready register
- My own DOFA-driven deadlines and countdowns
- My CPD hours against this cycle's target
- Which activities have been approved and which are pending
- My supervision status and classes of business