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FSB: Extension of deadline for regulatory examinations

13 September 2012 | Financial Sector Conduct Authority (FSCA) (was FSB)

The Financial Services Board (FSB) has today decided to extend the deadline by which persons that fall under the exemption previously granted by the FSB under Board Notice 61 of 2012 were required to successfully complete the first level regulatory examin

Regulatory changes and economic conditions pose challenges for South Africa’s asset management industry

11 September 2012 | General

South Africa’s asset management industry is facing a raft of regulatory changes largely associated with local pension fund reforms and enhanced investor protection as driven by global developments, according to a report issued by professional services fir

FSB: Resolution Life under curatorship

07 September 2012 | Financial Sector Conduct Authority (FSCA) (was FSB)

Following an application by the Executive Officer of the Financial Services Board (FSB), the South Gauteng High Court on 6 September 2012 granted a provisional order to place the life insurance business of Resolution Life Limited (Resolution Life) under p

FSB: Treating Customers Fairly: Self-assessment for financial firms

05 September 2012 | Financial Sector Conduct Authority (FSCA) (was FSB)

The Financial Services Board (FSB) has taken the next step in rolling out its proposed new Treating Customers Fairly (TCF) regulatory initiative. To this end, a new self-assessment tool has been published on the FSB website to enable regulated financial f

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Question

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

Answer

A criminal conviction Debarment Fine or penalty Any of the above can work

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