💰 Finance & Financial Services

Complete document roadmap – 88 core documents for your financial services firm

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Document Roadmap

R 700

Complete list of 88 documents with descriptions – ready to implement.

File Directory Structure

R 700

Pre‑built folder structure – just copy and start filing.

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📋 Document Roadmap

Phase 1: Registration & Compliance 12

✔	Document	Purpose
	FIN‑001 – CIPC Registration Certificate (Pty Ltd)	Proof of company registration
	FIN‑002 – Memorandum of Incorporation (MOI)	Company constitution
	FIN‑003 – SARS Registration (IT, PAYE, VAT)	Tax compliance (VAT if turnover > R1m)
	FIN‑004 – COIDA Registration	Employee injury cover
	FIN‑005 – Public Liability Insurance (for client meetings, events)	Cover for visitors
	FIN‑006 – Professional Indemnity Insurance (Financial Services)	Mandatory for financial advisors
	FIN‑007 – FSCA Licence / Authorisation (Financial Sector Conduct Authority)	Required to provide financial services
	FIN‑008 – FSP Registration Certificate (Financial Services Provider)	Mandatory for all financial service providers
	FIN‑009 – Compliance Officer Appointment Letter (in‑house / external)	FSCA requirement
	FIN‑010 – B‑BBEE Certificate (or affidavit)	For corporate clients and tenders
	FIN‑011 – CSD Registration	For government tenders
	FIN‑012 – POPIA Compliance Register	Client data protection

Phase 2: Contracts & Client Docs 10

✔	Document	Purpose
	FIN‑013 – Client Service Agreement / Investment Mandate	Terms of engagement
	FIN‑014 – Financial Advice Agreement (Personal / Corporate)	Scope of advice
	FIN‑015 – Discretionary Investment Management Agreement	For managed portfolios
	FIN‑016 – Non‑Disclosure Agreement (NDA) – Client / Partner	Confidential information
	FIN‑017 – Referral Agreement (with other professionals – attorneys, accountants)	Referral fees, scope
	FIN‑018 – Supplier Agreement (software, data providers)	With vendors
	FIN‑019 – Quotation / Fee Proposal Template	Fee structure
	FIN‑020 – Client Onboarding & KYC Form (FICA)	For financial intelligence compliance
	FIN‑021 – Risk Profile Questionnaire (for investments)	Client risk tolerance
	FIN‑022 – Client Information Update Form (annual)	KYC refresh

Phase 3: Human Resources 10

✔	Document	Purpose
	FIN‑023 – Employment Contract – Financial Advisor	Qualified advisors
	FIN‑024 – Employment Contract – Investment Analyst	Research & portfolio
	FIN‑025 – Employment Contract – Compliance Officer	FSCA compliance
	FIN‑026 – Employment Contract – Administrative Assistant	Support
	FIN‑027 – Employment Contract – Paraplanner	Technical support
	FIN‑028 – Independent Contractor Agreement (External consultant, trainer)	Project basis
	FIN‑029 – Code of Conduct (Staff) – Ethics & FSCA Standards	Professional ethics
	FIN‑030 – Disciplinary Code & Procedure	HR compliance
	FIN‑031 – Staff Roster (Advisors, Admin)	Schedule
	FIN‑032 – Attendance Register (Daily)	Sign‑in / sign‑out

Phase 4: Operations & Compliance Management 14

✔	Document	Purpose
	FIN‑033 – Compliance Manual (FSCA) – Full Document	Mandatory policy document
	FIN‑034 – Compliance Monitoring Plan (Annual)	FSCA requirement
	FIN‑035 – Risk Management & Compliance Framework	Key for FSCA
	FIN‑036 – Client File Register (per client – all docs, reviews)	Audit readiness
	FIN‑037 – Client Meeting / Review Log (per client)	Track advice given
	FIN‑038 – Complaints Register (Client Complaints) – FSCA Requirement	Mandatory tracking
	FIN‑039 – Conflict of Interest Register (Staff, Advisors)	Transparency
	FIN‑040 – FICA Register (Client Identity Verification)	AML compliance
	FIN‑041 – KYC / AML Monitoring Log (Ongoing Due Diligence)	FSCA / FIC requirement
	FIN‑042 – Suspicious Transaction Report (STR) Log	AML reporting
	FIN‑043 – Advisor / Representative Register (FSCA Approval)	Tracking accredited staff
	FIN‑044 – Training Register (CPD – Continuous Professional Development)	FSCA requirement
	FIN‑045 – Data Backup & IT Security Log	POPIA compliance
	FIN‑046 – PAIA Manual (Promotion of Access to Information Act)	Legal requirement

Phase 5: Health & Safety 8

✔	Document	Purpose
	FIN‑047 – Occupational Health & Safety (OHS) Policy	Office H&S
	FIN‑048 – Risk Assessment (Office Environment)	Slips, trips, stress
	FIN‑049 – Incident / Accident Report Form	Documentation
	FIN‑050 – First Aid Kit Register (Office)	Inventory
	FIN‑051 – Fire Extinguisher Inspection Log	Monthly check
	FIN‑052 – Emergency Evacuation Plan (Office Layout)	Map and drill log
	FIN‑053 – Personal Protective Equipment (PPE) Policy	If any physical risks
	FIN‑054 – Toolbox Talk Register (Staff Safety)	Monthly topics

Phase 6: Finance & Suppliers 12

✔	Document	Purpose
	FIN‑055 – Invoice Template (Client Fees, Monthly Retainer)	Billing
	FIN‑056 – Supplier Invoice Register (Software, Data Feeds, Office Supplies)	Expense tracking
	FIN‑057 – Payroll Register	Staff wages
	FIN‑058 – Petty Cash Log	Small purchases
	FIN‑059 – Client Payment / Fee Collection Register	Accounts receivable
	FIN‑060 – Supplier Payment Schedule	Creditors aging
	FIN‑061 – Commission / Fee Splits Register (Advisors)	Revenue distribution
	FIN‑062 – Client Fee Billing Summary (Monthly / Quarterly)	Revenue tracking
	FIN‑063 – Bank Reconciliation Template	Monthly finance
	FIN‑064 – Budget Template (Annual)	Planning
	FIN‑065 – Management Accounts Template (Monthly)	Internal reporting
	FIN‑066 – Annual Financial Statements (Compiled)	For FSCA and tax

Phase 7: Equipment & Assets 8

✔	Document	Purpose
	FIN‑067 – Asset Register (Master)	Computers, servers, furniture, vehicles
	FIN‑068 – IT Hardware Inventory (Laptops, Monitors, Printers)	Tracking
	FIN‑069 – Software Licence Register (Financial Software, CRM, Office)	Compliance
	FIN‑070 – Vehicle Log Sheet (if client visits)	Fuel, trips
	FIN‑071 – Server / Network Backup Log	Data protection
	FIN‑072 – UPS / Power Backup Log	Business continuity
	FIN‑073 – Filing / Storage System Inventory (Physical files)	Records management
	FIN‑074 – Asset Disposal Form	Retirement of old assets

Phase 8: Forms & Templates 14

✔	Document	Purpose
	FIN‑075 – Client Onboarding Checklist (FICA, KYC, Agreements)	Standard process
	FIN‑076 – Compliance Checklist (Monthly / Quarterly Self‑Audit)	FSCA readiness
	FIN‑077 – Client Meeting Preparation Template (Agenda, Facts)	Efficiency
	FIN‑078 – Client Investment Proposal Template	Sales
	FIN‑079 – Risk Assessment Template (Investment Suitability)	FSCA requirement
	FIN‑080 – Client Annual Review Checklist	Ongoing service
	FIN‑081 – Overtime Authorization Form	Staff approval
	FIN‑082 – Leave Application Form	Staff requests
	FIN‑083 – New Employee Induction Checklist (Financial Services)	Onboarding
	FIN‑084 – Supplier Evaluation Form (Data, Software, Office)	Vendor performance
	FIN‑085 – Client Satisfaction Survey	Service quality
	FIN‑086 – Compliance Breach / Incident Report Form	FSCA reporting
	FIN‑087 – Data Access Request Form (POPIA)	For clients
	FIN‑088 – Termination Checklist	Staff offboarding

📁 File Directory Structure

Financial Services Firm (Pty) Ltd/
│
├── 01 Registration & Compliance/
│   ├── CIPC_Registration.pdf
│   ├── MOI.pdf
│   ├── SARS_Registration.pdf
│   ├── COIDA_Certificate.pdf
│   ├── Public_Liability_Insurance.pdf
│   ├── Professional_Indemnity_Insurance.pdf
│   ├── FSCA_Licence_Authorisation.pdf
│   ├── FSP_Registration_Certificate.pdf
│   ├── Compliance_Officer_Appointment.pdf
│   ├── B-BBEE_Certificate.pdf (or affidavit)
│   ├── CSD_Registration.pdf
│   └── POPIA_Compliance_Register.pdf
│
├── 02 Contracts & Client Docs/
│   ├── Client_Service_Agreements/ (by client)
│   ├── Financial_Advice_Agreements/ (personal/corporate)
│   ├── Discretionary_Investment_Management_Agreements/
│   ├── NDAs_Client_Partner.docx
│   ├── Referral_Agreements/ (attorneys, accountants)
│   ├── Supplier_Agreements/ (software, data)
│   ├── Quotation_Fee_Proposal_Template.docx
│   ├── Client_Onboarding_KYC_Forms/ (by client)
│   ├── Risk_Profile_Questionnaires/ (by client)
│   └── Client_Information_Update_Forms/ (annual)
│
├── 03 Human Resources/
│   ├── Employment_Contracts/
│   │   ├── Financial_Advisor.docx
│   │   ├── Investment_Analyst.docx
│   │   ├── Compliance_Officer.docx
│   │   ├── Administrative_Assistant.docx
│   │   └── Paraplanner.docx
│   ├── Independent_Contractor_Agreements/
│   ├── Code_of_Conduct_Ethics_FSCA.pdf
│   ├── Disciplinary_Code.pdf
│   ├── Staff_Rosters/ (weekly)
│   └── Attendance_Registers/ (monthly)
│
├── 04 Operations & Compliance Management/
│   ├── Compliance_Manual_FSCA.pdf
│   ├── Compliance_Monitoring_Plan.pdf
│   ├── Risk_Management_Compliance_Framework.pdf
│   ├── Client_Files/ (per client – confidential, restricted access)
│   ├── Client_Meeting_Review_Logs.xlsx
│   ├── Complaints_Register.xlsx (FSCA requirement)
│   ├── Conflict_of_Interest_Register.xlsx
│   ├── FICA_Register_Client_Verification.xlsx
│   ├── KYC_AML_Monitoring_Logs.xlsx
│   ├── Suspicious_Transaction_STR_Log.xlsx
│   ├── Advisor_Representative_Register.xlsx
│   ├── CPD_Training_Register.xlsx
│   ├── Data_Backup_IT_Security_Log.xlsx
│   └── PAIA_Manual.pdf
│
├── 05 Health & Safety/
│   ├── OHS_Policy_Office.pdf
│   ├── Risk_Assessment_Office.pdf
│   ├── Incident_Reports/ (by date)
│   ├── First_Aid_Kit_Register.xlsx
│   ├── Fire_Extinguisher_Log.xlsx
│   ├── Emergency_Evacuation_Plan_Office.pdf
│   ├── PPE_Policy.pdf (if applicable)
│   └── Toolbox_Talk_Register.xlsx
│
├── 06 Finance & Suppliers/
│   ├── Invoices_Issued/ (by client)
│   ├── Supplier_Invoice_Register.xlsx
│   ├── Payroll_Records/ (by month)
│   ├── Petty_Cash_Log.xlsx
│   ├── Client_Payment_Collection_Register.xlsx
│   ├── Supplier_Payment_Schedule.xlsx
│   ├── Commission_Fee_Splits_Register.xlsx
│   ├── Client_Fee_Billing_Summary.xlsx
│   ├── Bank_Reconciliation.xlsx
│   ├── Annual_Budget_Template.xlsx
│   ├── Management_Accounts_Template.xlsx
│   └── Annual_Financial_Statements/ (by year)
│
├── 07 Equipment & Assets/
│   ├── Asset_Register.xlsx
│   ├── IT_Hardware_Inventory.xlsx
│   ├── Software_Licence_Register.xlsx
│   ├── Vehicle_Logs/ (if applicable)
│   ├── Server_Network_Backup_Log.xlsx
│   ├── UPS_Power_Backup_Log.xlsx
│   ├── Filing_Storage_Inventory.xlsx
│   └── Asset_Disposal_Form.docx
│
└── 08 Forms & Templates/
    ├── Client_Onboarding_Checklist.docx
    ├── Compliance_Self_Audit_Checklist.docx
    ├── Client_Meeting_Prep_Template.docx
    ├── Client_Investment_Proposal_Template.docx
    ├── Risk_Assessment_Suitability_Template.docx
    ├── Client_Annual_Review_Checklist.docx
    ├── Overtime_Form.docx
    ├── Leave_Application.docx
    ├── Financial_Services_Staff_Induction_Checklist.docx
    ├── Supplier_Evaluation_Form.docx
    ├── Client_Satisfaction_Survey.docx
    ├── Compliance_Breach_Report_Form.docx
    ├── POPIA_Data_Access_Request_Form.docx
    └── Termination_Checklist.docx

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