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Home / Compliance and Legislation

Compliance and Legislation

Videos

Video interview: New mutual insurer enters the market

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Key regulatory and compliance developments: looking back at 2024 and what’s ahead in 2025

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Issues around Budget 3.0 with tax specialist Louis Botha

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Make your CPD hours count before the 31 May deadline

With the clock ticking, MBSE’s flexible, value-packed online CPD courses help you stay compliant and grow professionally – even at the last minute.

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Former financial planner’s debarment over client loans upheld

The Tribunal confirmed Standard Bank’s decision to debar its representative for borrowing thousands of rands from his clients and failing to disclose his outside business activities.

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FSP fined for inadequate client-screening processes

An RMCP must set out the processes for identifying, investigating, and reporting suspicious transactions, and for screening clients against the sanctions lists.

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FSCA overstepped its authority on retirement fund exemption time limit

The Tribunal finds the FSCA acted beyond its legal authority by imposing a three-year time limit on an exemption, reaffirming a key precedent on regulatory overreach.

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Tribunal upholds funds’ broad discretion in death benefit allocation

A nominee who receives a dependency allocation can still claim a share of any surplus death benefit according to the deceased’s nominations.

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Viceroy | FSCA wants the power to serve foreign operators digitally

The Authority invites interested parties to participate in High Court proceedings that will decide whether it may impose penalties on foreign individuals without physically serving documents in South Africa.

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Adjudicator aligns with High Court’s ruling on the in duplum rule

The OPFA confirms that penalty interest on late employer contributions may not exceed the original capital owing – in line with the Full Bench’s judgment in March.

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FSCA imposes R3m fine on Ninety One for FICA lapses

An inspection identified inadequate implementation of the RMCP and deficient customer due diligence processes.

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FSCA’s three-year regulatory strategy anchored in COFI roll-out

A revamped licensing schedule and an enhanced Integrated Regulatory Solution platform will form the backbone of COFI-aligned supervision.

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FIC calls on businesses to take their RMCP obligations seriously

The Centre, through inspections and compliance monitoring, will test an RMCP against the legislative requirements.

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Retirement funds can’t use POPIA to withhold information from the Adjudicator

PAIA and POPIA should not be misused to hide inadequate investigations into dependants’ claims.

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Retirement fund cannot withhold benefits without precise liability admission

The Tribunal says the Adjudicator should have addressed the fund’s reliance on two acknowledgements of debt stating different amounts.

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Member’s withdrawal bid denied as two-pot rules exclude legacy RAs

The Pension Funds Adjudicator rules the fund acted within the law when it refused a member’s request to dip into his FlexiPension plan.

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R1.18m fine and five-year debarment for unauthorised CFD trading

The FSCA’s investigation also found that Petrus Rasmus Erasmus provided trading signals without a licence.

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Defining ‘financial education initiative’: key takeaways from new Conduct Standard

Senior legal adviser Lize de la Harpe unpacks the critical definitions, scope-limits, governance, and reporting obligations of the FSCA’s Conduct Standard.

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Budget 3.0 coming after court-backed VAT suspension and new Rates Bill

SARS tells vendors there is now no legal basis for them to charge consumers VAT of 15.5% from 1 May.

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FICA non-compliance costs bank R10 million

Absa was fined R7m for inadequate customer due diligence and R3m for delays and closures of transaction monitoring alerts.

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Investment Rates

 

Updated 26 May 2025

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Money Market funds

Updated 26 May 2025

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Two-pot costs: members may foot the bill for years
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