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Compliance - Regulatory
Acts (FAIS / Pension etc)
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FAIS Ombud gets creative with split determination
14 April 2008
FAIS Ombud Ruling: Onus is on insured to ensure premiums are paid
11 April 2008
FAIS Ombud Ruling: Broker gave wrong advise
11 April 2008
This could make Leader Guard look small
07 April 2008
quick poll
Question
The strongest deterrent against FSP compliance missteps is or should be:
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A criminal conviction
Debarment
Fine or penalty
Any of the above can work
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FAIS Ombud Ruling: Company liable for loss caused by its employee broker
05 April 2008
The broker is not the client's keeper, says FAIS Ombud
03 March 2008
Is there a requirement for ‘double’ disclosure?
25 February 2008
FAIS Deputy Ombud determination: Both spouses must be made aware of insurance exclusions
23 February 2008
FAIS Ombud ruling: Do all your clients comply with the policy terms and conditions?
18 February 2008
FAIS Ombud determinations : Short-term brokers be aware
16 February 2008
Ombud sounds warning bell on fee disclosures
11 February 2008
FAIS Ombud orders broker to refund costs that were not properly disclosed
08 February 2008
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