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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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FSCA suspends FSP’s licence after third Ombud determination

The beneficiaries waited months to be paid their funeral policy benefits, but they received only partial pay-outs despite undertakings to the contrary.

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Compliance trumps empowerment: decision to deregister co-operative bank upheld

The Tribunal agrees with the Prudential Authority that Women Building our Africa failed to meet the registration conditions and governance benchmarks.

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Reappointment, not a stopwatch: Tribunal on FSP debarment durations

Unlike FSCA-imposed bans with fixed terms, debarments driven by an FSP stay in force until another FSP is convinced a rep is Fit and Proper.

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OMNI-CBR will be embedded in new supervisory technology platform

Financial institutions are advised to pause their internal Conduct of Business Return initiatives pending further communication from the FSCA.

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Expect the FSCA to call – heightened AML/CFT oversight ahead

What the Authority expects from financial services providers when it conducts Financial Intelligence Centre Act inspections.

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Adjudicator asks FSCA to act against ‘unresponsive’ retirement fund

Muvhango Lukhaimane says the SALA Pension Fund’s refusal to engage with her Office’s enquiries constitutes a breach of the fund’s fiduciary obligations.

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Loans to settle divorce settlement sink microlender’s mutual bank application

The proposed CEO breached the Companies Act by allowing another company of which he was the sole shareholder to advance loans to him while it was insolvent.

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Here are the deadlines for the 2025 tax season

What taxpayers should know about auto-assessments and who is required to file an income tax return.

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FAIS Ombud finds broker negligent for failing to update client’s contact details

The material change from a co-policyholder to a sole policyholder should have alerted the FSP of the need to review the policy.

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Benefit allocation | When may a retirement fund consider DNA testing?

When the paternity of a retirement member’s child is in doubt, boards must tread a fine line between equitable distribution and undue intrusion.

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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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Investment Rates

 

Updated 17 June 2025

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Money Market funds

Updated 17 June 2025

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FSCA changes tack on OMNI-CBRs
https://youtu.be/Ovp41Unga-M
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  • Financial institutions should prepare for ‘more demanding’ AML/CFT review
  • FSCA suspends FSP’s licence after third Ombud determination
  • SA nears grey list exit after complying with all 22 action items
  • Compliance trumps empowerment: decision to deregister co-operative bank upheld
  • No shortcut to dismissing foreign nationals without work visas
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