orangeblock

Compliance - Regulatory / Financial Sector Conduct Authority (FSCA) (was FSB)

Explore the Category

FSB warns the public against Broker Capital

FSB warns the public against Broker Capital

14 October 2015

The Financial Services Board (FSB) warns the public to act with caution when dealing with Broker Capital, an entity which is not authorised in terms of the Financial Advisory and Intermediary Services Act, 2002 (FAIS Act), to render any financial advice and intermediary services in South Africa.

FSB takes regulation to the people

FSB takes regulation to the people

05 October 2015

The Financial Services Board will be in Soweto in October as part of its effort to take its regulatory functions to the public.

FSB warns the public against Capital Management Private Wealth

FSB warns the public against Capital Management Private Wealth

29 September 2015

The Financial Services Board (FSB) warns the public against conducting financial services business with Capital Management Private Wealth (herein referred to as Capital Management).

FSB deregisters Fitch as credit ratings agency

FSB deregisters Fitch as credit ratings agency

07 September 2015

The Registrar of Credit Rating Agencies announces the cancellation of registration of Fitch Southern Africa (Proprietary) Limited (“Fitch Southern Africa”) as a credit rating agency with effect from 4 September 2015. This follows a request by Fitch Southern Africa that their registration be cancelled.

quick poll
Question

If you had to hazard a guess, when do you reckon the COFI Bill will be signed into law?

Answer
Tracing the owners of unclaimed treasures

Tracing the owners of unclaimed treasures

07 September 2015
FSB warns the public against Go Direct Stock Market Investments

FSB warns the public against Go Direct Stock Market Investments

25 August 2015
Funds urged to do more to pay their beneficiaries

Funds urged to do more to pay their beneficiaries

21 August 2015
FSB issues a draft Board Notice for comment regarding reporting of transactions in listed securities concluded outside of an exchange

FSB issues a draft Board Notice for comment regarding reporting of transactions in listed securities concluded outside of an exchange

14 August 2015
FSB provisionally withdraws Ntinga’s licence

FSB provisionally withdraws Ntinga’s licence

13 August 2015
Financial services sector must follow correct procedures in the	debarment of FSP representatives

Financial services sector must follow correct procedures in the debarment of FSP representatives

22 June 2015
FSB issues a caution on unregulated investment schemes

FSB issues a caution on unregulated investment schemes

29 May 2015
FSB comments on Wealth Hub Scheme

FSB comments on Wealth Hub Scheme

28 May 2015