Updating your Compliance File
A reader recently asked how regularly one is obliged to review one’s compliance documentation. The answer appears to be: as and when required. Interestingly, (or perhaps not surprisingly), it appears to be implied, […]
Clients whose financial habits have been moulded by sound advice over many years are unlikely to act irresponsibly now, says Fairbairn’s Guy Holwill.
Read moreA reader recently asked how regularly one is obliged to review one’s compliance documentation. The answer appears to be: as and when required. Interestingly, (or perhaps not surprisingly), it appears to be implied, […]
The latest figures showing suspensions and cancellations of FSP licences, as well as the reinstatement of authorisations, was published yesterday. The overall tally was a gain for the industry, with 159 suspensions being […]
The final test against Pakistan starts tomorrow and although the series may have already been decided, I am of the view that it will still prove to be a cracker of a game. […]
Those FSPs whose financial year ends on 28 February, received a reminder from the FSB about the deadline for the compulsory submission of their financial statements.. The Regulator’s website contains guidelines on how […]
We publish an article by Charles de Kock, a senior Portfolio manager at Coronation. He looks at global outlooks, then brings it closer to home, sharing Coronation’s view on the year ahead: The […]
Unfortunately, I did not get to see any of the cricket as I spent the weekend on the West Coast without TV and cell reception. Heaven! On my return on Sunday afternoon, I […]
Does the benefit of hindsight count against advisors in so far as the FAIS Ombud is concerned? This is what went through my mind when I read the latest determination by the Ombud. […]
This article appears in the December/January 2013 edition of INVESTSA Remember the spaghetti western “The Good, the Bad and the Ugly”? In one scene, Eli Wallach, on horseback, leads Clint Eastwood, on foot, […]
The FSB invited comment on the draft 2013 compliance reports published on their website. Changes for 2013: • There are no substantial changes to the content of the reports. Some of the changes include […]
FAIS Circular 2 of 2013 contains details of the action to be taken against those who failed to comply with the requirement to write the regulatory exams by the end of June last […]
RE Support Workshops The FSB will be running a limited number of Assistance Workshops, identical to those currently presented by Inseta. This is to accommodate those candidates who were unable to attend the […]
Looking at the fixture list for the Super 15 series, the Sharks, like the Stormers, face a rather hectic schedule at the start of the tournament. They play the Cheetahs in Bloem, the […]
1. My young grandson called the other day to wish me Happy Birthday. He asked me how old I was, and I told him, 80. My grandson was quiet for a moment, and […]
A “General Awareness” telematic broadcast workshop will be run on 7 March, and will address the following topics: Termination of business The Disclosure of Fees and other potential Conflict of Interests on Third […]