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Decision set aside, although the FSP was correct in finding that the representative contravened the General Code of Conduct.
The effective fine of R7 million and other sanctions follow an inspection conducted four years ago.
Accountable institutions should consider the latest Terror Financing National Risk Assessment when implementing their RMCPs.
Licence withdrawals and suspensions, and licence suspensions that have been lifted.
Members particularly need to understand pre-retirement withdrawals, and the implications of these withdrawals, including tax and liquidity at retirement.
The adviser brought an application for the FAIS Ombud’s determination and the Tribunal chairperson’s decision to be reviewed in terms of PAJA.
The Tribunal finds that the debarment process followed by an insurance brokerage was not lawful or fair.
A pension fund mistakenly paid out a fraudulent claim to a syndicate while the rightful member was in prison.
The employee was told she would be granted immunity from prosecution if she agreed to sign the AOD.
The continued disregard of the Consumer Protection Act by second-hand car dealerships is a concern, the National Consumer Commission states.
Tribunal highlights the distinction between the processes that fall under the Labour Relations Act and the FAIS Act.
The regulations relate to commercial dealings among small businesses and agreements between suppliers, customers, and distributors.
The new Rules also incorporate the proposal to raise the Ombud’s jurisdictional limit from R800 000 to R3.5 million.
Not meeting the operational ability and competency requirements are the main reasons the Authority rejected licence applications.
FSCA pinpoints lack of oversight by KIs, FICA non-compliance, and unauthorised copy trading and funeral insurance business.
The heads of private bodies, information officers, or deputy information officers must be registered with the Information Regulator to submit a report.
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