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Compliance - Regulatory / FAIS Ombudsman

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FAIS Ombud orders full refund of investment

FAIS Ombud orders full refund of investment

24 April 2009
Beware of liability when buying or selling a short-term book

Beware of liability when buying or selling a short-term book

16 April 2009
Financial adviser not responsible for client’s ill discipline

Financial adviser not responsible for client’s ill discipline

14 April 2009
Broker must cough up as he cannot show proof of advice

Broker must cough up as he cannot show proof of advice

11 April 2009
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FAIS Ombud dismissed complaint against Old Mutual

FAIS Ombud dismissed complaint against Old Mutual

11 April 2009
Ombud lambasts broker who tries to fleece friend after payout

Ombud lambasts broker who tries to fleece friend after payout

11 April 2009
More Fidentia fallout 24 months down the line!

More Fidentia fallout 24 months down the line!

23 March 2009
FAIS Ombud: Company not liable for loss caused by broker who sold Fidentia product

FAIS Ombud: Company not liable for loss caused by broker who sold Fidentia product

22 March 2009
FAIS Ombud denies leave to appeal its ‘good citizen warranty’ ruling

FAIS Ombud denies leave to appeal its ‘good citizen warranty’ ruling

09 March 2009
FAIS Ombud refuses appeal in good citizen warranty case and reaffirms equitable justice

FAIS Ombud refuses appeal in good citizen warranty case and reaffirms equitable justice

08 March 2009
FAIS Ombud gets tough on chance takers

FAIS Ombud gets tough on chance takers

16 February 2009
No cheers for broker who signed up a client in a pub – FAIS Ombud orders him to pay for failing to properly advise

No cheers for broker who signed up a client in a pub – FAIS Ombud orders him to pay for failing to properly advise

09 February 2009