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FAIS Ombud orders Leaderguard broker to repay pensioners

FAIS Ombud orders Leaderguard broker to repay pensioners

19 October 2009

FAIS Ombud: Broker with strange licensing records ordered to pay

FAIS Ombud: Broker with strange licensing records ordered to pay

19 October 2009

FAIS Ombudsman sides with complainant

FAIS Ombudsman sides with complainant

14 October 2009

FAIS Ombud finds broker chased commission by extending maturity date

FAIS Ombud finds broker chased commission by extending maturity date

12 October 2009

quick poll

Question

The strongest deterrent against FSP compliance missteps is or should be:

Answer

A criminal conviction Debarment Fine or penalty Any of the above can work

View the Results

Is moderate risk appropriate at 90?

Is moderate risk appropriate at 90?

28 September 2009

Ombud slates Old Mutual for altered investment documents

Ombud slates Old Mutual for altered investment documents

27 September 2009

Car dealer runs foul of the FAIS Act

Car dealer runs foul of the FAIS Act

14 September 2009

FAIS Ombud: Proof of advice, so car dealer must cough up

FAIS Ombud: Proof of advice, so car dealer must cough up

13 September 2009

Ombud orders dilly-dallying investment company to repay R300 000

Ombud orders dilly-dallying investment company to repay R300 000

13 September 2009

Global Ombud told of impact of SA’S FAIS Ombud

Global Ombud told of impact of SA’S FAIS Ombud

26 June 2009

FAIS Ombud calls for legislation to stop cross border fraud

FAIS Ombud calls for legislation to stop cross border fraud

05 June 2009

FAIS Ombudsman punishes FSP for fraud and poor advice

FAIS Ombudsman punishes FSP for fraud and poor advice

28 April 2009

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FAnews June 2026

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