FSB Broadcast: On-site Visit Feedback

Most of us would rather learn from the mistakes of others, than from our own. If you share this view, and would like to find out where they went wrong, please click here to order a DVD of the presentation held on 19 September (yesterday).

The agenda covers the following topics:

  1. FAIS on-site visits and FICA inspections
  2. General Code of Conduct
  3. Conflict of Interest
  4. Profile Changes
  5. Representatives: RE’s and Training
  6. Exemption – BN 193 of 2011
  7. Extensions – Financial Statements
  8. Complaints
  9. Solvency issues
  10. Treating Customers Fairly

This is certainly a wide spectrum of topics, and sure to contain a lot of updated information for most FSPs.

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