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Tag Archives | Code of Conduct

Code-of-Conduct

Proposed Amendments to General Code of Conduct: Sections 8 & 9

The Registrar has published proposed amendments to the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 and proposed amendments to the Specific Code of Conduct for Authorised Financial Services Providers and Representatives conducting Short-term Deposits Business, 2004. The closing date for comments is 28 February 2018. A number of these amendments were briefly […]

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proposals

Proposed Amendments to General Code of Conduct

The Registrar published proposed amendments to the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 and proposed amendments to the Specific Code of Conduct for Authorised Financial Services Providers and Representatives conducting Short-term Deposits Business, 2004. The closing date for comments is 28 February 2018. The 27 page document provides clarity […]

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Complaints Management Proposals

The proposals for amendments to the General Code of Conduct (GCoC), published in November 2017, expand substantially on the Regulator’s expectations in terms of how complaints are handled. Exactly three years ago we published a three-part series on the outcome of a thematic review by the FSB on complaints handling, and how it envisages using complaints […]

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Introducing Ethics into your Practice

Managing your practice in terms of the FAIS Act and the General Code of Conduct may be time-consuming, but at least there is a set of rules to guide you. The advent of outcomes-based legislation alters the playing field substantially. You may soon find that you ticked all the right boxes, yet can be found […]

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