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Tag Archives | UK

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RDR feedback from the UK

On Tuesday, David Ferguson, founder and chief executive of Nucleus Financial Group in the UK, speaking at the Sanlam i3 Summit, said RDR and all the associated legislation introduced in the UK in 2012 have really been about driving value for money. RiskSA reports on this as follows: “The winners have been those who cared […]

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UK exam and bulk registrations

New UK exam date Our next UK exam is scheduled for 17 March 2016. For more information contact Marietjie at faisexam@moonstoneinfo.co.za. REs in Mauritius We received several enquiries from candidates resident in Mauritius regarding the possibility of writing the exams there. We are quite happy to do so, provided we have a minimum of 15 to 20 […]

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Does the Penalty fit the “Crime”?

That which was termed “excessive” fines by the local regulatory authorities pale into insignificance when compared with what happened in the UK last week. The Financial Conduct Authority (FCA) imposed a financial penalty of £12,377,800 on Santander UK plc (“Santander”). The latter, by agreeing to settle at an early stage of the FCA investigation, qualified […]

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What goes up must come down

Unintended consequences often defeat the object of the exercise. It appears as if this is also happening in financial regulation, internationally. It is common knowledge that much of the regulation of financial services in South Africa closely follows the models developed and tested in the UK and Australia. Conducting a proper needs and risk analysis […]

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