When is a complaint out of time?
The recent Bester determination by the FAIS Ombud provides guidance on the requirement that a complaint must be lodged within three years. We often understand this to mean from the time the advice […]
FAIS Ombud
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
The Great Switcheroo
I toyed with several titles when contemplating writing this article, but finally settled on this one, from a Roald Dahl short story. A typical Dahl tale contains unexpected developments in the story line, […]
Sharemax Beslissing en die Doel van FAIS
Die Toets vir Geskiktheid (The Suitability Test) Die vereiste dat adviseurs ‘n omsigtigheidstudie (due diligence) moet uitvoer ten opsigte van produkte wat hulle aanbeveel, word verder as volg toegelig in die Ombud se […]
FAIS Ombud Indicts Product Provider
It has become a hackneyed phrase to term an event “ground breaking”. In this instance, I think it applies. We have for a very long time voiced our concern over the fact that […]
Transgressions Never Retire
A retired financial advisor received quite a shock when he was ordered to refund a client to the tune of R460 000, as well as interest at 15.5% dating back from 2005. We […]
The FAIS Ombud and Jaws
The worldwide outcry when a surfer in Australia or South Africa is attacked by a shark, never ceases to amaze and amuse me – the outcry, please note, not the attack. Whether this […]
