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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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