Client advice records, or the lack thereof, was identified as one of the trends in complaints contained in the latest annual report of the FAIS Ombud A tick-box exercise does not help the […]
As 2020 winded down, the FSCA published various regulatory updates. Comments on most of these updates are due mid-February 2021. Here is a reminder of these amendments and updates: Proposed amendments to the […]
Since the implementation of the Determination of Fit and Proper Requirements for Financial Services Providers, 2017 on 1 April 2018, various exemptions were issued to deal with new requirements. According to the FSCA certain provisions […]
Since the implementation of the Determination of Fit and Proper Requirements for Financial Services Providers, 2017 on 1 April 2018, various exemptions were issued to deal with new requirements. According to the FSCA certain provisions […]
Through various communications this year, the Financial Sector Conduct Authority (FSCA) acknowledged the impact of COVID-19 on the financial services industry and the challenges that FSPs, key individuals and representatives might face in […]
Through various communications this year, the Financial Sector Conduct Authority (FSCA) acknowledged the impact of COVID-19 on the financial services industry and the challenges that FSPs, key individuals and representatives might face in […]
Towards the end of June 2020, the Financial Sector Conduct Authority (FSCA) published the final amendments to the General Code of Conduct as well as Fit and Proper requirements under the FAIS Act. According […]
Towards the end of June 2020, the Financial Sector Conduct Authority (FSCA) published the final amendments to the General Code of Conduct as well as Fit and Proper requirements under the FAIS Act. According […]
The Prudential Authority (PA) and the Financial Sector Conduct Authority (FSCA) published Joint Standard 1 of 2020 earlier this week. The communication focuses on fitness, propriety and other matters relating to significant owners, in […]
The Prudential Authority (PA) and the Financial Sector Conduct Authority (FSCA) published Joint Standard 1 of 2020 earlier this week. The communication focuses on fitness, propriety and other matters relating to significant owners, in […]
FSCA FAIS Notice 17 of 2020, the Exemption from and extension of period to comply with Fit and Proper Requirements, 2020, has been withdrawn by the FSCA and substituted with FSCA FAIS Notice 22 […]
The annual CPD cycle ends on 31 May 2019. With only a few days left to attain your required number of FAIS related CPD hours for the current CPD cycle, it’s also a good time […]
The annual CPD cycle ends on 31 May 2019. With only a few days left to attain your required number of FAIS related CPD hours for the current CPD cycle, it’s also a good time […]
The amended Fit and Proper requirements of Board Notice 194 of 2017 determined various requirements that need to be implemented and complied with before specific deadline dates. Since the release of the original […]
The Fit and Proper requirements of Board Notice 194 of 2017 need to be implemented and complied with before specific deadline dates. Wednesday, 31 July 2019 is such a deadline. A Representative working under supervision as […]
The Fit and Proper requirements of Board Notice 194 of 2017 need to be implemented and complied with before specific deadline dates. Wednesday, 31 July 2019 is such a deadline. A Representative working under supervision as […]
Having to interpret and navigate through the endless collection of Board Notices, Circulars and Guidance Notes which regulates the requirements associated with either being approved as a Key Individual, appointed as a Representative, […]
