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The financial services industry in South Africa has become highly regulated. Please browse to find some of the most important legislation applicable to financial service providers.
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Posted on 10 November 2020
As online communication with clients replaces face-to-face meetings, the risk of fraud, cyber threats and non-compliance with regulation increases. It is important to decide how you will communicate with your clients, ...
Posted on 13 October 2020
Failure to appropriately advise a client, as required by Section 8 of the FAIS General Code of Conduct (GCOC), can result in serious consequences for both you and the client. In a 2016 Ombud Determination, a client alleged ...
Posted on 11 November 2020FSPs, KIs and Reps are reminded that they should be on track with achieving the required number of hours which evidences ... Click here to read more.
Posted on 11 November 2020Supervised representatives who had a deadline that fell between 27 March 2020 ... Click here to read more.
Swart Redelinghuys Nel and Partners Inc