13 February 2018 Archives

Draft Public Compliance Communication No 38A

Posted on 13 Feb 2018

The Financial Intelligence Centre (FIC) has recently published the draft Public Compliance Communication No 38A (PCC 38A). The objective of this PCC is to provide guidance in relation to receiving and responding to requests, interventions and orders from FIC in terms of sections 27, 32, 34 and 35 of the FIC Act, specifically: How the … Continued

A brief overview of the proposed changes to the General Code of Conduct

Posted on 13 Feb 2018

Masthead believes that when introducing any regulation (whether new or revised) it should be (1) easy to implement, (2) easy to administer once implemented, (3) cost effective for users, and (4) easy to access, broad-based. We are also mindful of the need for legislation to accommodate and support small businesses which are well positioned to … Continued

Dealing with client complaints

Posted on 13 Feb 2018

As regulators increasingly focus on treating customers fairly, it is important to treat clients fairly in all aspects of your business, including if they complain. Dealing with client complaints is already part of regulatory compliance for FSPs. The objective of TCF Outcome 6 is that clients should not face unreasonable post-sale barriers to change a … Continued

Public Awareness for Cybercrime

Posted on 13 Feb 2018

The Financial Intelligence Centre (FIC) has published a document to inform the public about different types of online scams and ways to avoid becoming a victim of cybercrime. As technology evolves and improves the lives of users, it also paves the way for criminals. Criminals use online scams to obtain your information. Examples of these … Continued

MASTHEAD IS

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.

Mastering Compliance Newsletters

13 February 2018

Draft Public Compliance Communication No 38A

A brief overview of the proposed changes to the General Code of Conduct

Dealing with client complaints

Public Awareness for Cybercrime

EARN CPD HOURS

Mastering Compliance Newsletters

13 February 2018

Draft Public Compliance Communication No 38A

A brief overview of the proposed changes to the General Code of Conduct

Dealing with client complaints

Public Awareness for Cybercrime

EARN CPD HOURS

MASTHEAD IS

Why Masthead?

CONTACT US

+27 21 686 3588

info@masthead.co.za

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