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Home / Compliance and Legislation / Page 58

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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Tribunal: ‘true test’ for debarment is balance of probability

The case for debarring a representative must be established on a balance of probability, not prima facie findings, the Financial Services Tribunal (FST) said when it upheld a representative’s application for his debarment […]

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Registrars can grant default debt judgments, says High Court

The full bench of the Mpumalanga High Court has ruled that registrars are entitled to grant default judgments in matters related to the National Credit Act (NCA) – thereby either clarifying or adding […]

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Retirement funds can use Irba’s revised formats for their financial statements

The FSCA has exempted retirement funds from using the formats in Board Notice 77 when preparing financial statements as long as they use the revised report formats approved by the Independent Regulatory Board […]

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FSCA agrees to reconsider R50m fine on Mirror Trading International

The FSCA has agreed to reconsider the R50 million penalty it imposed on Mirror Trading International (MTI) for conducting unregistered financial services business in contravention of the FAIS Act. The Financial Services Tribunal […]

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Bookings open for Moonstone’s Privacy Governance webinar

As a result of the huge interest in the privacy governance segment of our Regulatory Update Webinar in February, Moonstone Compliance will be holding a series of webinars dealing specifically with this issue. […]

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Why you should ask a regulator for reasons for a decision

If you are at the receiving end of an adverse decision by a financial services regulator, you should make use of your right to request reasons for the decision, because this may result […]

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SCA judgment ‘puts fund retirement members’ accrued benefits at risk’

The Supreme Court of Appeal’s “deeply disturbing” decision in the case of Municipal Employees’ Pension Fund vs Pandelani Midas Mudau puts at risk the accrued retirement benefits of millions of fund members, says […]

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Bid to have JSE reconsider decision not to cancel R6m share trade ‘error’ fails

The Financial Services Tribunal has dismissed an application, with costs, by Overanet Investments to have the JSE reconsider its decision to refuse to cancel a share trade that, Overanet alleged, was entered into […]

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FSPs given until the end of May to complete crypto assets survey

The FSCA has given FSPs until 31 May to complete an electronic survey of their crypto-asset-related activities. The purpose of the survey is to assist the FSCA in obtaining a better understanding of […]

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Cash-strapped FSP gets no relief from the tribunal

The Financial Services Tribunal has declined an FSP’s request for reconsideration of the FSCA’s refusal to exempt him from the Fit and Proper Requirements on the grounds of financial hardship. In 2020, George […]

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Representative ‘conspired’ with client to have complaint withdrawn

A representative conspired with a client in an attempt to have the complaint against him withdrawn, the Financial Services Tribunal said in its decision to uphold his debarment. Sanlam Developing Markets (SDM) debarred […]

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Tribunal orders Adjudicator to reopen case into policy conversion

The Financial Services Tribunal has ordered the Pension Funds Adjudicator to reopen a complaint against Old Mutual involving the alleged conversion of a policy to an annuity without the client’s consent. The Adjudicator […]

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Constitutional Court revises who is entitled to complain to the Pension Funds Adjudicator

The Constitutional Court has ruled that the Pension Funds Adjudicator has jurisdiction to hear cases where the complainant was unlawfully admitted as a member of a retirement fund. The court’s ruling clarifies how […]

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Expert’s findings unreliable in dispute over damaged pump

The Ombudsman for Short-term Insurance (Osti) ruled that an expert’s findings on which the insurer relied to reject a claim were unreliable. The policyholder submitted a claim for storm damage to his jacuzzi’s […]

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Investors’ deposits used to pay withdrawals: chief executive fined R10m and debarred

The FSCA has fined the chief executive of Smart Billion Investments R10 million and debarred him for 10 years while another director was fined R500 000 and debarred for five years for contravening […]

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Father can’t get money from sale of his house until he pays child maintenance, judge rules

A Johannesburg father who owes about R200 000 in maintenance for his children will not be able to get his hands on the proceeds of the sale of his house until he pays […]

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Send me your complaints about healthcare brokers, says FAIS Ombud

The FAIS Ombud this week issued a media release encouraging medical scheme members to lodge a complaint with her office if they believe they have been “financially prejudiced” by a healthcare broker’s advice. […]

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Updated 14 July 2025

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Updated 14 July 2025

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FAIS Ombud highlights disclosure duties
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