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Tag Archives | Regulatory

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Moonstone Regulatory Update Workshop 2020 – Save the date

Moonstone Compliance is excited to announce that registration for the popular annual regulatory update workshop will open soon. This year the annual event will go virtual and the webinar will be hosted on 29 September 2020. The agenda will, amongst other topics, include insightful discussions on the General Code of Conduct, the Cell Captive draft conduct standard […]

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Resumption of Regulatory Exams – Now offered at FSP’s own venue in main city centres

The good news is that Regulatory Examinations can be conducted under specific conditions again. Until further relaxation of lockdown regulations, Moonstone will deliver the Regulatory Examinations at the FSP’s own venue (a minimum of 5 candidates) in the main city centres, i.e. Johannesburg, Pretoria, Durban and Cape Town, on condition that the client (FSP) complies […]

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Joint Communication 4 of 2020 – Clarification on regulatory requirements applicable to funeral insurance policies

“The Prudential Authority (PA) and the Financial Sector Conduct Authority (FSCA) (jointly referred to as the Authorities) have received requests for clarity in respect of the perceived regulatory inconsistency in the application of the maximum prescribed amounts as these amounts relate to the Funeral Class of insurance business. More specifically, the concerns raised related to […]

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The FSCA regulatory landscape – Understanding its jurisdictional challenges

The FSCA has just released its Perimeter Report of 2020, a report that identifies activities that are testing the FSCA’s regulatory perimeter, that boundary that separates regulated and unregulated activities. This has been a problem for many years, where jurisdictional boundaries overlap between the FSCA and other regulatory bodies, e.g. the Medical Schemes Council and […]

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Fintech and proposed reguIatory changes

At a recent presentation, Seshree Govender, an associate in the financial regulatory practice at Webber Wentzel, commented on how fintech companies may be affected by regulatory changes in the financial services industry. Based on the services they provide, Govender explained that some firms do not have a clear understanding of which laws are applicable to […]

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Stick to the Facts

When certainty is lacking, people often make assumptions. As we all know, to assume often leads to making an Ass of U and ME. Speculation about what the new regulatory environment will look like is rife, and often based on unsound “facts”. For this reason we reverted to recent public presentations by the Regulator to […]

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On the Regulatory Front

Moonstone is a co-sponsor of this seminar which is a must-attend event for all key individuals, representatives and compliance officers. Anton Swanepoel and other leading industry experts will discuss the year ahead from a regulatory perspective – something few can afford to miss. Objective The seminar will address the key regulatory challenges that impact the […]

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Services Under Supervision

The introduction of the FAIS Act brought with it a new set of regulatory requirements, including those pertaining to industry incumbents being fit and proper. As these conditions were refined, it became evident that the financial services industry, renowned for the high turnover in intermediaries, would bleed to death if steps were not taken to […]

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