Expert compliance advisory, FAIS debarment support and disciplinary hearing services for organisations and professionals.
Fick&Co brings together experienced legal, compliance and financial services professionals with extensive knowledge of FAIS requirements, regulatory governance, disciplinary processes and complaints management and resolution.
Our team provides independent, practical and professionally managed support focused on procedural fairness, sound decision-making and clear, defensible outcomes. We help clients reduce risk, strengthen governance and approach complex proceedings with confidence.
Practical, tailored guidance for regulatory and internal compliance obligations.
We support organisations in understanding and managing their compliance responsibilities in a practical and structured way. Our advice is aligned with each client’s operations, risk profile and governance requirements, helping decision-makers implement workable controls and reduce regulatory exposure.
A structured review of controls, processes and potential areas of regulatory exposure.
We assess existing policies, procedures, controls and operational practices to identify possible compliance gaps. The findings help organisations prioritise corrective action, strengthen oversight and address weaknesses before they develop into more serious risks.
Relevant, practical policies that support governance and regulatory alignment.
We assist with the development of new policies and the review of existing compliance and governance documents. Our focus is on producing clear, effective documentation that teams can understand, apply consistently and use to guide sound decision-making.
Clear direction through complex regulatory requirements and responsibilities.
We help clients interpret their obligations, understand how regulatory requirements affect their operations and determine appropriate next steps. Our guidance reduces uncertainty and supports informed, consistent compliance decisions.
Focused training that strengthens compliance understanding across teams.
We provide tailored programmes that improve employees’ understanding of regulatory responsibilities, internal policies and expected standards of conduct. Training can be adapted for different departments, operational teams and management levels.
Independent support for fair, professionally managed and defensible FAIS debarment proceedings.
Our support includes independent chairing, case preparation, strategy, documentation review and mitigation or remediation planning. Every matter is approached objectively, with careful attention to procedural fairness and regulatory alignment.
Structured and impartial support for fair workplace disciplinary processes.
We assist employers and employees through independent chairing, advisory support, drafting of charges and notices, documentation review and procedural guidance. Our objective is to support balanced, ethical and well-reasoned outcomes.
From initial assessment to final outcome, Fick&Co provides independent, confidential and professionally managed support focused on fairness, compliance and sound decision-making.
Our team brings extensive experience across compliance, financial services, governance, labour relations and dispute resolution. This depth of knowledge allows us to approach complex matters with practical insight, sound judgment and a clear understanding of regulatory expectations.
We provide objective, confidential and professionally managed support. Every matter is approached with integrity, impartiality and a strong commitment to procedural fairness, helping clients reach outcomes that are balanced, credible and defensible.
No two organisations or proceedings are the same. We adapt our guidance to the circumstances of each client, providing clear recommendations and workable solutions that strengthen governance, reduce risk and support confident decision-making.
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Our team brings extensive experience across financial services, FAIS compliance, governance, labour relations and dispute resolution. This broad industry knowledge allows us to understand complex matters quickly and provide clear, informed guidance that is aligned with regulatory expectations.
Trusted Expertise
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We approach every matter objectively, ethically and with a strong commitment to procedural fairness. Our independent perspective supports balanced decision-making and helps ensure that hearings and advisory processes are managed professionally, consistently and without bias.
Fair Outcomes
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Every organisation and matter is different. We take the time to understand the client’s circumstances, risks and objectives before providing practical guidance. Our solutions are designed to be workable, relevant and focused on achieving clear, defensible outcomes.
Client-Focused Support
We support organisations, professional teams and individuals who require clear compliance guidance, independent hearing support and practical assistance with complex regulatory or workplace matters.
We assist established companies and growing businesses with compliance advisory, policy development, regulatory guidance and professionally managed disciplinary or debarment processes. Our support is tailored to the organisation’s size, operations and risk environment.
We support government departments and public sector entities that require structured, impartial and procedurally fair assistance. Our approach promotes good governance, accountability and clear, defensible decision-making.
We work with HR teams on disciplinary processes, hearing preparation, drafting of charges and notices, documentation review and procedural guidance. Our role is to help ensure that internal processes are fair, consistent and professionally managed.
We provide specialist support to legal and compliance professionals who require additional regulatory insight, independent chairing or assistance with complex FAIS, governance and disciplinary matters.
We assist individual professionals who require guidance or representation in debarment and disciplinary matters. Each case is handled confidentially, objectively and with careful attention to procedural fairness and regulatory requirements.
Professional Support
Fick&Co works with organisations and individuals who need more than generic advice. We provide independent, confidential and practical support that helps clients understand their obligations, manage complex proceedings and make informed decisions with confidence.
Fick&Co
Compliance Advisory & Hearing Support
Our team combines legal, compliance, financial services and labour relations experience to provide independent, practical and professionally managed support across complex regulatory and disciplinary matters.
Executive Director & Chief Executive Officer
Carron is an admitted attorney and experienced compliance professional with expertise in regulatory governance, FSCA complaints management and debarment proceedings. She brings a strong understanding of FAIS requirements, procedural fairness and legally defensible decision-making.
Her experience includes work with Discovery, ENSafrica and Standard Bank, covering regulatory reporting, policy development, Tribunal matters, key person applications, risk initiatives and compliance training.
Independent Non-Executive Director
Lindiwe is a seasoned financial services leader with more than 20 years of experience in FAIS compliance, governance, labour relations and operational leadership. She has led licensed FSPs, strengthened regulatory frameworks and supported complex disciplinary and organisational processes.
Her background includes senior experience across Standard Bank, Nedbank, FNB and Assupol, together with strategic compliance, risk and labour relations leadership through Lusano Consulting.
Independent Non-Executive Director
Kaylene is an experienced financial services professional with more than 40 years of expertise in governance, regulatory compliance, dispute resolution and ethical decision-making within the FAIS framework.
Her career spans banking operations, product, human resources, IT and sales, with extensive experience at Nedbank and Standard Bank. She also brings deep knowledge of conduct risk, Ombud-related matters, debarment processes and fair client outcomes.
A clear, fair and structured process
We follow a practical and professional process to help organisations and individuals manage compliance matters, debarment proceedings, disciplinary hearings and complaints management and resolution with clarity, confidence and procedural fairness.
We begin by understanding your matter, the parties involved, your objectives and the type of professional support required.
We review the facts, supporting documents, internal policies and applicable regulatory considerations to identify risk and determine the appropriate way forward.
We prepare the required documentation, procedural steps, hearing approach and practical strategy for the matter.
We provide objective and professionally managed support throughout the advisory or hearing process, with a focus on procedural fairness, sound judgment and regulatory alignment.
We provide clear, defensible outcomes and practical recommendations to guide decision-making, governance and appropriate next steps.
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Need guidance with a compliance matter, debarment proceeding or disciplinary hearing? Contact Fick&Co for professional, confidential and practical support tailored to your circumstances.
+27 83 286 4628
carron@fickco.co.za