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Home / Compliance and Legislation / Page 3

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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Court backs FST’s decision to scale down penalty for insurance breach

The judgment confirms that the Tribunal acted within its authority when it reduced a penalty imposed by the Prudential Authority on two state-owned insurers.

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Financial institutions urged to prioritise cyber resilience as Joint Standard takes effect

With Joint Standard 2 on cybersecurity coming into force on 1 June, the Prudential Authority emphasises the need for financial institutions to bolster resilience, share intelligence, and prepare for inevitable cyberattacks.

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No RMCP, no excuse: FSCA fines three FSPs a combined R735 000

One of the sanctioned FSPs says it’s important to request virtual meetings with the FSCA after each feedback round to ensure all compliance expectations are met.

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Tribunal sets aside debarment, citing inadequate notification

The FSP used an email address it obtained from a credit bureau, but the rep denied this address belonged to her.

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Updated lists of qualifications for FSPs and representatives released

The FSCA’s latest Notice of the recognised qualifications replaces previous notices from 2021 and 2023.

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FIC maps the money laundering, terror financing risks facing SA’s crypto sector

The report outlines the CASP sector’s vulnerabilities and provides guidance on how enhanced compliance and improved risk management can help to safeguard the industry.

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FIC seeks further input on guidance for money or value transfer service providers

The Financial Intelligence Centre has refined its draft PCC, addressing industry feedback on payment system operators, open- and closed-loop cards, and third-party payment services.

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Reporting Directive for cross-border transactions issued

Directive 3A and PCC 50A set clear guidelines for accountable institutions on reporting international funds transfers and handling reporting failures.

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Increase in penalty for late insurance returns

The FSCA has raised the maximum daily penalty for late submissions under insurance legislation by 4.39%.

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Finalised Conduct Standard for financial education released

In response to stakeholder concerns over increased costs, the FSCA says the requirements can be scaled to each institution’s size and complexity.

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Revised draft standard for disclosure of short sales open for comment

The new draft introduces a phased approach, initially focusing on positional reporting to overcome challenges identified in earlier consultations and to enhance oversight of short selling.

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Amended Conduct Standard for section 14 transfers takes effect

The Authority has withdrawn the temporary exemption for retirement fund transfers, signalling the full implementation of updated regulatory requirements.

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FSCA says new digital platform will streamline compliance and regulation

IRS, which is set to go live in 2026, will leverage smart analytics to automate risk assessments and provide a comprehensive view of regulated entities.

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Tribunal rules against former Sanlam representative in signature dispute

The Financial Services Tribunal dismisses a reconsideration application by a former representative who claimed a client e-signed documents in person.

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The effective use of disclaimer notices and clauses to exclude liability

Recent cases reaffirm that disclaimer notices must be prominently displayed and clearly worded to be enforceable, ensuring that consumers are adequately informed of their rights and risks.

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Customer complaints: FSCA tells banks to raise their game

A review finds significant lapses in the banks’ complaint management – from inconsistent categorisation to poor record-keeping and communication.

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FIC opens consultation on updated IFTR guidelines

The Financial Intelligence Centre (FIC) has issued published Draft Directive 3A and Draft Public Compliance Communication 50A for public consultation.

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