Agreement can’t override an FSP’s duty to initiate debarment proceedings
The High Court rules on a former employee’s contention that the FSP’s notice of intention to debar was a breach of their settlement agreement.
FSP
Videos
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
Final opportunity: access MBSE’s CPD courses instantly as cycle nears its end
MBSE will unveil its updated courses for the new CPD cycle on 1 June, giving a head start for those eager to avoid the last-minute rush.
Make your mark: MBSE can help with last-minute CPD rush on 29 May
Moonstone Business School of Excellence’s CPD team will be available to assist clients with enquiries on Election Day.
Warriner hit with 30-year debarment as FSCA’s BHI probe continues
The suspension of Global & Local’s licence relates to its relationship with BHI Trust, the FSCA confirms.
Countdown to CPD deadline: MBSE has essential courses for FSPs and key individuals
Moonstone Business School of Excellence offers more than 80 courses with flexible e-learning options, so you can meet your CPD requirements easily.
Last-minute CPD rush? Moonstone Business School of Excellence has the solution
MBSE’s CPD courses provide flexible e-learning opportunities that can be conveniently accessed and completed on various devices.
Deadline looms: MBSE’s CPD courses offer last-minute solutions for professionals
Moonstone Business School of Excellence’s CPD courses offer flexible e-learning options that can be completed on various devices, anytime and anywhere.
What you should know about the FAIS competence requirements
The first in a series of articles that explains the competence requirements for people who want to enter the financial services industry.
Unlock your potential in financial planning through MBSE
2023 top achiever Devon Lumley shares insights into online learning, self-discipline, and goal setting to maximise students’ Moonstone Business School of Excellence experience.
‘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.
Reduction in CPD requirements: FSCA explains why KIs and reps are treated differently
The FSCA has confirmed that the provision for a pro rata reduction in CPD hours as a result of parental leave, or because of illness or disability, applies only to an FSP’s representatives, […]
To be (dishonest), or not to be?
Two recent tribunal cases make for quite interesting reading. No dishonest intent In the Mokotedi decision, the employer, a major bank, debarred a financial adviser on the grounds that he lacked the required […]
The ABC of investment advice – There are no shortcuts to compliance
Although many might feel that the Sharemax debacle is old hat, and that FSPs could not have foreseen its implosion, it still serves the purpose of reminding us of the basics of compliance […]
Fair treatment of client complaints – Amended code now provides framework for FSPs
The 2003 version of the General Code of Conduct (GCoC) for authorised financial services providers and representatives captured the handling of complaints in three pages, only focussing on basic principles and procedures. The […]
Amendments to FICA – Proposals will affect FSPs and motor dealers
On 19 June 2020 the Minister of Finance published Government Notice 684 in GG 43347 which contained a number of proposed amendments to the Schedules to Financial Intelligence Centre Act. Interestingly, short-term (non-life) insurers have […]
Amendments to FICA – Proposals will affect FSPs and motor dealers
On 19 June 2020 the Minister of Finance published Government Notice 684 in GG 43347 which contained a number of proposed amendments to the Schedules to Financial Intelligence Centre Act. Interestingly, short-term (non-life) insurers have […]
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 […]
