Compliance Officer Presentation
The FSB’s presentation for compliance officers provided a lot of practical insight and advice. Whether you are an external or internal CO, there is a lot of food for thought and consideration on […]
Compliance
Compliance Consolidation
The introduction of the FAIS Act brought a number of additional layers of cost which providers of financial services had to absorb. The majority of the tentacles of this octopus have compliance written […]
TCF Guide for small FSPs and IFAs
Treating Customers Fairly will impact on the whole industry. To date, most of the communication was aimed at corporates and industry bodies, with little information flowing through to smaller FSPs and independent financial […]
Regulatory Overkill?
There are some who will say that rugby is not as serious as work – it is much more important. Recent incidents in the sporting world confirmed a theory also held by many […]
Compliance Considerations
Today, farming is possibly the only industry with a sharper rise in input costs than that of the independent financial advisor. For quite a while now, this important sector of the financial services […]
