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Compliance - Regulatory / FAIS Ombudsman

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Bad tricks won’t solve advice gap

Bad tricks won’t solve advice gap

18 January 2016

Brokers spend a great deal of time and effort planning for their clients’ future and assessing their long-term goals. However, there are the few who continue to create a bad effect on the efforts of others.

Determination: Building bridges that last

Determination: Building bridges that last

02 December 2015

Some people cannot admit failures and mistakes so they blame others in order to escape from their responsibility. But in the end, the truth always prevails.

Concerning trends rearing their heads

Concerning trends rearing their heads

19 November 2015

It has been over a year since the Financial Services Board (FSB) released its Treating Customers Fairly (TCF) objectives. While this has not yet been entrenched in law, the regulator is expecting companies to abide by these objectives.

The consequence of one wrong move

The consequence of one wrong move

15 October 2015

Open and honest communication has often been a criticism in the insurance industry. Policyholders often feel hard done by when insurers rule in a certain way, while insurers may be completely justified in their rulings.

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Inimical behavior to the efforts of law abiding FSPs

Inimical behavior to the efforts of law abiding FSPs

17 September 2015
Does one bad apple spoil the bunch?

Does one bad apple spoil the bunch?

27 July 2015
Taking a significant beating with legislative Act

Taking a significant beating with legislative Act

19 May 2015
Hidden truths are spoken lies

Hidden truths are spoken lies

30 April 2015
Avoiding unfavorable rulings and risks for non-compliance

Avoiding unfavorable rulings and risks for non-compliance

30 March 2015
The risk appetite conundrum

The risk appetite conundrum

12 February 2015
Think before you act when it comes to investments

Think before you act when it comes to investments

17 November 2014
Complaints streaming in at the FAIS Ombud

Complaints streaming in at the FAIS Ombud

13 November 2014
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