‘Due care and diligence’ at the centre of BHI Trust probe – FSCA
The FSCA’s investigation into FSPs who might have suggested the trust to their clients aims to assess whether these providers took into account suitability and risk factors.
Due Diligence
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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
Grey-listing: what you can expect when transacting with foreign institutions
An outbound money transfer may now take much longer than a week or two.
Grey-listing will have a big impact on insurance industry, says law firm
National Treasury says it hopes to get South Africa off the list before January 2025.
Is business email compromise also a threat to advisers?
The recent findings against prominent legal persona might be a timely warning for the financial services industry to take preventative action.
Administrative FSP – Who is responsible for Customer Due Diligence?
The Financial Intelligence Centre Act 2002, as amended (FIC Act) places an obligation on all accountable institutions (AIs) to perform CDD on prospective clients entering into a single transaction with the AI, or […]
FSP Due Diligence Responsibilities
On Monday, we briefly outlined the background to the first complaint against an advisor who invested client funds in Herman Pretorius’s Relative Value Arbitrage Fund. In his response to the complaint, the advisor […]
