Judgment sends a warning about abusing the R1m offshore allowance
High Court rejects argument that a person can use the allowances of other individuals because the transfers were approved by an authorised dealer.
FCA
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
UK regulator aims to strengthen investment rules to avoid white noise in risk warnings
One of the interesting findings of the recently discussed Momentum Investments and Oxford Risk Noise and Investment Advice Study was that the conventional methods of assessing risk of individual investors, is subject to […]
UK regulator aims to strengthen investment rules to avoid white noise in risk warnings
One of the interesting findings of the recently discussed Momentum Investments and Oxford Risk Noise and Investment Advice Study was that the conventional methods of assessing risk of individual investors, is subject to […]
UK’s Business Insurance Ruling – FCA provides guidance for insurers
Following the legal certainty it sought on business interruption claims, it is to be hoped that the FSCA will follow the example of the UK regulator in quickly setting guidelines and principles for […]
The FCA Handbook Principles
While doing research on developments under the Business Interruption Insurance test trial in the UK, I came across the following prescribed principles for firms regulated by the British Financial Conduct Authority. Whilst many […]
Wonga Bungle
The FSB will take on added responsibilities once “Twin Peaks” is enacted, including regulating the banking industry. It is therefore interesting to note what happened in the UK since 1 April 2013, when the Financial […]
Crime and Punishment
This article, by Paul Resnik, was published in the April edition of the FinaMetrica newsletter. UK regulator fine for unsuitable advice It seems to be inevitable that the past behaviour of banks raises […]
Does the Penalty fit the “Crime”?
That which was termed “excessive” fines by the local regulatory authorities pale into insignificance when compared with what happened in the UK last week. The Financial Conduct Authority (FCA) imposed a financial penalty […]
Are We Experiencing Regulatory Overkill?
The head of Britain’s recently formed Financial Conduct Authority (FCA) was accused of backtracking on a promise to introduce “proportionate” red-tape on insurance brokers by the British Insurance Brokers Association (Biba), according to […]
