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

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FSB rules against Hippo

FSB rules against Hippo

13 May 2013

The Registrar of Financial Services Providers (Registrar) referred a case against Hippo Comparative Services (Pty) Ltd (the Respondent), FSP number 16357 to the Enforcement Committee of the Financial Services Board.

RE Level 1 exemption – last day to apply

RE Level 1 exemption – last day to apply

30 April 2013

Financial services providers who failed to complete the relevant Level 1 regulatory examinations have just today within which to apply to the Financial Services Board (FSB) for permission to continue rendering their services – the deadline is 30 April 201

FSB warns the public against NaxaInvest

FSB warns the public against NaxaInvest

25 April 2013

The Financial Services Board (FSB) would like to warn the public not to conduct financial services business with NaxaInvest.

FSB on Fidentia  – ‘crime doesn’t pay’

FSB on Fidentia – ‘crime doesn’t pay’

23 April 2013

For those who have been following the Fidentia saga closely, the Western Cape High Court’s verdict vis-à-vis J Arthur Brown – guilty on only two counts of fraud – may seem oddly anti-climactic, given that he was originally arrested on 197 counts. By negot

quick poll
Question

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

Answer
FSB: J Arthur Brown

FSB: J Arthur Brown

19 April 2013
Registrar acts against non-compliance

Registrar acts against non-compliance

18 March 2013
FSB informs the public of regulatory actions against the Smart Life

FSB informs the public of regulatory actions against the Smart Life

04 March 2013
Boiler room operators reel under R4 million penalty

Boiler room operators reel under R4 million penalty

19 November 2012
The long road to full regulatory examination compliance

The long road to full regulatory examination compliance

14 November 2012
FSB: Premier Life licence withdrawn

FSB: Premier Life licence withdrawn

01 October 2012
Financial services regulator weighs in with yet another examination deadline

Financial services regulator weighs in with yet another examination deadline

17 September 2012
FSB: Extension of deadline for regulatory examinations

FSB: Extension of deadline for regulatory examinations

13 September 2012