In exchange for their admissions, they sought to substitute their debarments with an undertaking to repay R470m in client losses.
This article concerns the difference between legislative requirements and practical reality. A recent conversation with a reader concerned the requirement that financial statements must be submitted within four months. Before, FSPs had six […]
In all endings, there is always a beginning. On 30 June, we submitted the last of our licence applications to the FSB as a “recognised licensing body”. This status was afforded to us […]
The article in last week’s Moonstone Monitor on training related matters elicited quite a response from people who require assistance with planning their future training obligations. We mentioned in the article that Board […]
A reader wrote as follows: Please clarify the issue of RE Level 1 certificates. When I wrote my RE5 and RE1, I was notified by email and a certificate was attached. I am […]
It has become a bit of a habit to use a song title for this column. I was stuck this week until a very unlikely character came to my rescue, and reminded me […]
These are from actual resumés: “I am extremely loyal to my present firm, so please don’t let them know of my immediate availability.” “Qualifications: I am a man filled with passion and integrity, […]
The introduction of the level 1 regulatory examinations in November 2010 shifted the focus from product training to RE preparation. Up to the end of 2009, when FSPs and reps needed a minimum […]
Gogga maak (amper) vir Baba Bly Die Reguleerder het Vrydagmiddag, skuins voor 15h00, ’n media vrystelling uitgestuur met die opskrif: “Deadline for Regulatory Examinations”. Die eerste wat ek hiervan te hore gekom het, […]
I received news yesterday that the level 1 regulatory exams for Category III Key Individuals (RE 4) is now available. Please click here to access the exam schedules to register for this exam. […]
The Crusaders did themselves no favour by losing to the Hurricanes over the weekend. By picking up just one bonus point, they opened the door ever so slightly for three teams hovering on […]
This is dedicated to all of us who are seniors, to all of you who know seniors, and to all of you who will become seniors. An irate customer called the newspaper office, […]
The financial services industry cannot be seen in isolation to what happens in the rest of the country. President Zuma’s recent initiative regarding matters of state should also be applied to what happened […]
In all endings, there is always a beginning. On Friday, we submitted the last of our licence applications to the FSB as a “recognised licensing body”. This status was afforded to us in […]
I am, like most males, definitely guilty of thinking that I can achieve anything without directions. The availability of the GPS makes my life a lot less embarrassing, especially when I have to […]
Failure to write the REs within the stipulated time frames calls for action on the part of those affected. The following guidelines were published by the FSB to assist FSPs in conforming to […]
We certainly had some lively discussion on Monday’s blog. In particular, Morné Steyn’s performance came under the spotlight. There were some great chirps: Tony: Although I really like Jean De Villiers, he needs […]
I have been meaning to write on this topic for a while now but, having listened to a few socio-political economists/ analysts (the titles vary quite a bit) over the last three weeks, […]
Notifications
