A draft Conduct Standard, setting out both the principles and fit and proper requirements that CIS managers must comply with on an ongoing basis, was released by the Financial Sector Conduct Authority (FSCA) […]
A draft Conduct Standard, setting out both the principles and fit and proper requirements that CIS managers must comply with on an ongoing basis, was released by the Financial Sector Conduct Authority (FSCA) […]
During the 2019/2020 financial year the Office of the FAIS Ombud received a total of 8835 new complaints – a reduction of 5.23% from the 9323 received during the 2018/2019 financial year and […]
During the 2019/2020 financial year the Office of the FAIS Ombud received a total of 8835 new complaints – a reduction of 5.23% from the 9323 received during the 2018/2019 financial year and […]
Since the implementation of the Determination of Fit and Proper Requirements for Financial Services Providers, 2017 on 1 April 2018, various exemptions were issued to deal with new requirements. According to the FSCA certain provisions […]
Since the implementation of the Determination of Fit and Proper Requirements for Financial Services Providers, 2017 on 1 April 2018, various exemptions were issued to deal with new requirements. According to the FSCA certain provisions […]
There are actually three certainties in this world: Death, taxes and major regulatory updates in December every year, as the industry starts winding down for the silly season. One of these is the […]
There are actually three certainties in this world: Death, taxes and major regulatory updates in December every year, as the industry starts winding down for the silly season. One of these is the […]
In one of our recent articles, Whose information is it any way?, the ownership of client information was questioned. In the case at hand a broker requested information from a product provider, only […]
In one of our recent articles, Whose information is it any way?, the ownership of client information was questioned. In the case at hand a broker requested information from a product provider, only […]
In a media release last week, ASISA welcomed the public consultation process on the classification of inward listed instruments. This follows the statement issued by National Treasury, the SARB and the FSCA announcing […]
In a media release last week, ASISA welcomed the public consultation process on the classification of inward listed instruments. This follows the statement issued by National Treasury, the SARB and the FSCA announcing […]
The Financial Sector Conduct Authority (FSCA) has identified a recurring trend where financial services providers fail to comply with section 11(2) of the FAIS Act and/or abuse section 11(1)(d) of the FAIS Act […]
The Financial Sector Conduct Authority (FSCA) has identified a recurring trend where financial services providers fail to comply with section 11(2) of the FAIS Act and/or abuse section 11(1)(d) of the FAIS Act […]
In a media statement on Tuesday, National Treasury, the South African Reserve Bank (SARB) and the Financial Sector Conduct Authority (FSCA) announced their intention to review Exchange Control Circular 15/2020 issued by the […]
Another tragic fallout resulting from the Covid-19 pandemic is that a number of FSPs may be considering closing down. The FSCA published a Guidance Notice to assist such entities in complying with all […]
Another tragic fallout resulting from the Covid-19 pandemic is that a number of FSPs may be considering closing down. The FSCA published a Guidance Notice to assist such entities in complying with all […]
