27 February 2018 Archives

Update of Regulatory Examinations – FAIS Information Circular 1/2018

Posted on 27 Feb 2018

In FAIS Information Circular 1/2018, published on 13 February 2018, the FSB advised: If you are already registered to write the regulatory examinations before or on 29 March 2018, you will still write the current version of the regulatory examinations. The current version of the exam will not include questions on the new Fit and … Continued

Determination of the Fees payable to the Registrar of Financial Services Providers

Posted on 27 Feb 2018

Fees payable to the Registrar of Financial Services Providers has been updated and comes into effect on 9 March 2018. Click here to view the new fees that FSPs will need to pay for services such as FSP licence applications, extensions and exemptions and RE exams etc.

The importance of a Client Advice Record and Financial Needs Analysis

Posted on 27 Feb 2018

Client advice records have recently come under fire for financial advisors failing to provide their clients with an adequate record of the advice as envisioned in the Financial Advisory and Intermediary Services (FAIS) Act. One of the key reasons for this could be because a financial needs analysis is sometimes conducted as a mere formality … Continued

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Mastering Compliance Newsletters

27 February 2018

Update of Regulatory Examinations – FAIS Information Circular 1/2018

Determination of the Fees payable to the Registrar of Financial Services Providers

The importance of a Client Advice Record and Financial Needs Analysis

EARN CPD HOURS

Mastering Compliance Newsletters

27 February 2018

Update of Regulatory Examinations – FAIS Information Circular 1/2018

Determination of the Fees payable to the Registrar of Financial Services Providers

The importance of a Client Advice Record and Financial Needs Analysis

EARN CPD HOURS

MASTHEAD IS

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