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1.1 Copy of Licence & Licensing conditions
1.2 Copies of CIPC Documents
1.3 PI cover & Fidelity & Guarantees & IGF
1.4 Proof of Banking Details
1.5 Licence Conditions
1.6 FSCA & Regulator Correspondence
2.1 Compliance Charter
2.2 Ethical Conduct Policy
2.3 Nature of Business activities & ongoing services
2.4 Organogram & Segregation of Duties
2.5 Ownership Structure & Joint Ventures
2.6 Board of Directors
2.7 Succession & Business continuity
2.8 Strategic Business Plan
3.1 Financial Soundness
3.2 Accounting
3.3 External Auditor
3.4 Levies
4.1 Risk Management Plan
4.2 Risk Management Policy
SPB - Risk Management
Annual FSCA Report & Proof of submission
Quarterly Reports
Licensing TBA