FAIS Ombud’s report highlights pitfalls in client communication
From misrepresented investment products to overlooked policy details, the cases show how advisers can better serve clients by providing clear, timely, and relevant information.
Settlements
Videos
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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
Case studies of settlements facilitated by the FAIS Ombud
In two cases, the representatives did not advise the clients adequately of terms that were material to the products’ benefits.
FAIS Ombud’s office releases its 2021/22 report
Eight interesting things, including an update on long-standing property syndication complaints.
FAIS Ombud Settlements
Learn from compliance mistakes made by FSPs An FSP’s interaction with clients must at all times meet the standards set out in the General Code of Conduct. The FAIS Ombud’s Annual report highlighted […]
