Referrals and Leads Generation
Clarity on the regulation of this important aspect of the financial services industry is provided in proposals in the Retail Distribution Review (RDR). Where a referral involves the mere passing on of contact […]
Best Practice
Videos
Watch: MBSE launches RE training for FAIS representatives
Watch: FPI Financial Planner of the Year on key issues shaping the financial landscape
Animated video explains the two-pot retirement system
NCA Credit providers’ FICA obligations
NCR Desktop Audits
Is South Africa on track to getting off the grey list?
Looking back at this year’s FPI Professional’s Convention
Enhance your HR skills by attending our insightful webinars in November
Webinars on how to investigate misconduct and address poor performance
Make Your Voice Heard
The rapidly changing financial advisory market necessitates the opportunity for investment advisers to voice their views on a meaningful platform. The South African Investment Panorama is a new research project to enable independent […]
Key Individual Liability
A recent order by the FSB’s Appeal Board highlighted the importance of applying the prescribed methodology where representatives under supervision are concerned. A representative under supervision, Moore, claimed that the directors of Blue […]
Whose client is it anyway?
A reader writes: I refer to comments made by Dr. Brian Benfield in an article you recently posted, and particularly to the following: A clear understanding and application of the law of contract, […]
Make Your Voice Heard
The rapidly changing financial advisory market necessitates the opportunity for investment advisers to voice their views on a meaningful platform. The South African Investment Panorama is a new research project to enable independent […]
Complaints and Compensation for Clients
Alan Holton of Compliance Monitoring Services writes: I read the comments in your “Moonstone Investment Indicators” of the 23rd March (LT Ombud Makes Compensation Rulings) regarding the principles that lie behind awards made […]
LT Ombud Makes Compensation Rulings
The March 2015 edition of the Long-term Ombud’s newsletter, Ombuzz, contains information which should give heart to those who experience unsatisfactory service from product providers. Too often, such service reflects poorly on the […]
Die Barmhartige Samaritaan
Eugene Ehlers skryf onlangs: My dogter moes Johannesburg toe vlieg om ‘n perd te gaan koop en het die oggend voor 08h00 daar geland. Sy het ‘n afspraak vir 09h00 gehad om die […]
CMS Invites Industry Input
The Council for Medical Schemes published Circular 20 of 2015 which outlines intended steps to curb confusion experienced by the general public, caused by misleading branding and communications from third-party services providers. “It shall […]
Harvest House Delivers Fine Crop
Moneyweb recently reported on an outstanding achievement by a relatively small investment house: The Natal Midlands might be a great place for dairy farmers and antique shops, but it’s probably not the place […]
Broker Training by CMS
The Council for Medical Schemes will be hosting a one day consultative workshop and training for accredited healthcare brokers. The Workshop aims to provide guidance and clarity on the following: Applicable sections of […]
COI Article Responses
Last week’s article, Is Conflict of Interest a Double-edged Sword? drew a lot of comment. A short-term broker writes: I was faced with my agency being cancelled by an insurer due to lack […]
Premium Collection can be Costly
The Retail Distribution Review discussion document contains a number of proposals aimed at strengthening the regulation of premium collections by intermediaries on behalf of insurers. This should not take one’s eyes off what […]
Financial Statements for 2015
Last week, the Regulator sent a reminder to all registered FSPs regarding the above. In terms of the provisions of Section 19 of the FAIS Act, all authorised Financial Services providers (“FSPs”) are […]
Tax Free Savings Schemes on Investment Indicators
The Moonstone Investment Indicators has, for many years now, been the only really independent source of comparison used by intermediaries when advising clients on annuity and guaranteed rates, as well as Money Market […]
Cutting Edge Regulatory Workshops
Anton Swanepoel’s popular, informative and practical Regulatory Workshops will be run again in March this year. There will be two presentations – one focussing on short-term intermediaries, and one for long-term advisers. The […]
More on Tax Free savings
Fees in respect of tax free investment The list of definitions states: A “fee” includes a management fee, administration fee or any similar charge; The regulations stipulate that “any fee charged in respect […]
