• About
  • Our People
  • Advertise
  • Data Privacy
  • Contact
Skip to navigation Skip to content
Moonstone Information Refinery | Logo
  • Online
  • Services
    • Regulatory Exam BodyRE1 & RE5
    • Compliance & Risk ManagementFAIS, FICA & NCA
    • Business SchoolQualifications, COB & CPD
    • Information RefineryNewsletters & Media Kit
    • Workforce SolutionsBBBEE, EE & Skills Dev Reports
  • Careers
  • Workshops
  • CPD
  • Home
  • Cart
  • Checkout
  • Home
  • Job Card | MCOM
  • Job Card | MSS
  • My account
  • Partners
  • Subscribe
  • Regulatory Exam Body
  • Services
    • Compliance & Risk Management
    • Regulatory Exam Body
    • Information Refinery
    • Workforce Solutions
      • Workforce Solutions | Book a Consultation
  • About
  • Our People
  • Advertise with us
    • Advertising Media Kit – Download
  • Data Privacy
    • Cookies
    • Data Privacy Policy
    • Privacy Notices
    • Email Disclaimer
    • Website Terms & Conditions
    • Copyright Notice
    • Event Refund / Cancellation Policy
  • Contact
    • Contact | Thank You
    • Subscribe | Thank You
  • Sitemap
  • Jobcard
  • Library
    • Regulatory Examination Library
    • Moonstone Library
Home / Posts tagged “Debarment”

Debarment

Videos

Video interview: New mutual insurer enters the market

Read More

Key regulatory and compliance developments: looking back at 2024 and what’s ahead in 2025

Read More

Issues around Budget 3.0 with tax specialist Louis Botha

Read More

Lack of full and frank disclosure sinks FSP’s licence application

The Tribunal agrees with the FSCA that the entity’s key individual did not ‘come clean’ about her past misconduct.

Read More

Tribunal sets aside broker’s debarment based on contractual grievances

The FSP’s allegations that the representative violated the terms of the settlement and service agreements did constitute a material breach of the FAIS Act.

Read More

Tribunal upholds R1m fine and 15-year debarment for unlicensed trading

Mareo-John Nel breached the FAIS Act after signing an enforceable undertaking to remedy the same unlawful conduct he committed previously.

Read More

Tribunal upholds strict timing for FSP debarments

Section 14(1)(b) of the FAIS Act cannot be stretched to catch misconduct discovered after a representative’s tenure.

Read More

Reappointment, not a stopwatch: Tribunal on FSP debarment durations

Unlike FSCA-imposed bans with fixed terms, debarments driven by an FSP stay in force until another FSP is convinced a rep is Fit and Proper.

Read More

Former financial planner’s debarment over client loans upheld

The Tribunal confirmed Standard Bank’s decision to debar its representative for borrowing thousands of rands from his clients and failing to disclose his outside business activities.

Read More

R1.18m fine and five-year debarment for unauthorised CFD trading

The FSCA’s investigation also found that Petrus Rasmus Erasmus provided trading signals without a licence.

Read More

Five years to finalise an investigation and impose a sanction is ‘unreasonable’

The Tribunal says individuals who are subject to administrative action are entitled to fair processes that include the speedy finalisation of their matter

Read More

Tribunal sets aside debarment, citing inadequate notification

The FSP used an email address it obtained from a credit bureau, but the rep denied this address belonged to her.

Read More

Tribunal rules against former Sanlam representative in signature dispute

The Financial Services Tribunal dismisses a reconsideration application by a former representative who claimed a client e-signed documents in person.

Read More

Life insurer debars rep who ‘went off-script’ during sales call

The agent repeatedly deviated from the approved product script. Previous warnings and documented missteps played a key role in the decision.

Read More

Debarment set aside as Tribunal distinguishes negligence from dishonesty

The case highlights that debarment is reserved for instances of clear, intentional breaches of integrity, not mere negligence.

Read More

Tribunal upholds FSCA’s sanctions for unauthorised advice

FSPs must ensure their representatives operate strictly within their authorised product categories and according to the client’s mandate.

Read More

FST ruling reinforces need to follow due process in debarments

The Tribunal finds the FSP skipped critical steps, including notifying the representative and giving her an opportunity to respond.

Read More

Tribunal upholds debarments for misusing client information

The decisions show that even thwarted attempts to breach confidentiality signal a critical lapse in integrity.

Read More

Funeral home fined R11.4m for unauthorised insurance business

The two directors were debarred for 20 and 10 years, respectively.

Read More

Removal firm fined for offering insurance without authorisation

The FSCA fines Kings International Removers R1.1 million and debars its owner for eight years.

Read More

Posts pagination

  • 1
  • 2
  • …
  • 11
  • Next
Services
  • Compliance & Risk ManagementFAIS, FICA & NCA
  • Business SchoolQualifications, COB & CPD
  • Information RefineryNewsletters & Media Kit
  • Workforce SolutionsEE & Skills Dev Reports
  • Regulatory Exam BodyRE1 & RE5
Investment Rates

 

Updated 14 July 2025

View Now

Money Market funds

Updated 14 July 2025

View Now

FAIS Ombud highlights disclosure duties
https://youtu.be/wPIh84KJNvk
Newsletter Subscription

  Stay at the top of your game

Subscribe
This field is for validation purposes and should be left unchanged.

Tweets by MoonstoneInfo
Contact Us

+27 21 883 8000

-33.9652451,18.8405387

Email us

Find us

25 Quantum Street, Technopark
Stellenbosch, South Africa
  • FAIS Ombud highlights need for follow-up when a policy changes materially
  • Road Accident Fund is at a crossroads
  • Top achievers praise HCert in short-term insurance for practical skills
  • Lack of full and frank disclosure sinks FSP’s licence application
  • FSCA eases section 14(1) rules for retail retirement fund transfers
Services
  • Compliance & Risk ManagementFAIS, FICA & NCA
  • Business SchoolQualifications, COB & CPD
  • Information RefineryNewsletters & Media Kit
  • Workforce SolutionsEE & Skills Dev Reports
  • Regulatory Exam BodyRE1 & RE5
Copyright © 2025 Moonstone Information Refinery®
Developed by This Side Up Media

Moonstone uses cookies to run essential services and improve or personalise your experience.
Cookies help us understand how you interact with our site, enhance functionality, and ensure a smooth browsing experience.

By continuing to use our website, you agree to our use of cookies.
For more information, please review our Data Privacy and list of cookies.

Continue Data Privacy Cookies