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FSB Communications

On 29 August, the FSB broadcast a workshop aimed specifically at independent financial advisors. The title of the presentation is: “What’s new, and what to be aware of”.

The Agenda covered the following topics:

• Structure of the FAIS Division
• Exemption: Board Notice 193 of 2011(Exemption of FSPS from submitting audited financial statement requirements)
• Financial statements guidelines
• Regulatory Examination: DOFA (Date of First Appointment)
• Qualifications List (the latest one published last week).
• PI Cover & Fidelity guarantees
• Licence Certificate: Transfer of Book & Licence (of equal importance to those wishing to sell or buy a book or practice).
• Debarments
• Conflict of Interest

This is important information, straight from the horse’s mouth, so to speak. It is also a powerful tool for staff training purposes.

Please click here to order a DVD of the presentation.

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