orangeblock

Compliance - Regulatory

Explore the Category

More transformation required in financial services, say, FAIS Ombud

More transformation required in financial services, say, FAIS Ombud

23 October 2009 | FAIS Ombudsman
FSB’s Enforcement Committee fines insider R150 000

FSB’s Enforcement Committee fines insider R150 000

Update on Licenses for Financial Services Providers

Update on Licenses for Financial Services Providers

Strange bedfellows – foreign currency trading and low risk

Strange bedfellows – foreign currency trading and low risk

20 October 2009 | FAIS Ombudsman
quick poll
Question

If I were tasked with taking my firm’s customer experience (CX) to the next level, I would:

Answer
FAIS Ombud orders Leaderguard broker to repay pensioners

FAIS Ombud orders Leaderguard broker to repay pensioners

19 October 2009 | FAIS Ombudsman
FAIS Ombud: Broker with strange licensing records ordered to pay

FAIS Ombud: Broker with strange licensing records ordered to pay

19 October 2009 | FAIS Ombudsman
FAIS Ombudsman sides with complainant

FAIS Ombudsman sides with complainant

14 October 2009 | FAIS Ombudsman
FAIS Ombud finds broker chased commission by extending maturity date

FAIS Ombud finds broker chased commission by extending maturity date

12 October 2009 | FAIS Ombudsman
Public Private Partnership Launches Alcohol Testing Centre in Randburg

Public Private Partnership Launches Alcohol Testing Centre in Randburg

New business slows, but life industry remains healthy

New business slows, but life industry remains healthy

Naming and shaming in the pension fund space

Naming and shaming in the pension fund space

29 September 2009 | PFA - Pension Fund Adjudicator
Pension Fund Adjudicator’s scorecard results highlight best and worst performing funds

Pension Fund Adjudicator’s scorecard results highlight best and worst performing funds

29 September 2009 | PFA - Pension Fund Adjudicator