Posted on 4 Apr 2017
When the FSB conducts FSP on-site visits, the supervision agreements for Representatives working under supervision are scrutinised. The supervision plan and the tracking of the supervision activities are also inspected. It is therefore of utmost importance to ensure that these documents are in place and monitored on a regular basis. In order to operate as … Continued
Posted on 4 Apr 2017
The Appellant, who was the FSP, had its licence withdrawn by the Registrar of the Financial Services Board (FSB). The withdrawal of authorisation is a result of the FSP not complying with many regulatory requirements as set out in the FAIS Act, as well as the FIC Act. The Registrar held that some of duties … Continued
Posted on 4 Apr 2017
The Minister of Trade and Industry, together with the Minister of Finance, published the final Credit Life Insurance Regulations in terms of the National Credit Act. The Minister of Trade and Industry, with the Minister of Finance, has issued and published the final Credit Life Insurance Regulations. One of the aspects set out in the … Continued
A national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs). Established in 2004, we help our clients overcome their risk management challenges so they can grow and thrive in an increasingly regulated industry. Providing professional guidance and practical support, our team of specialists is passionately committed to delivering tangible solutions.
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