orangeblock

Compliance - Regulatory

Explore the Category

Life industry gets go-ahead to standardise critical illness disclosure

Life industry gets go-ahead to standardise critical illness disclosure

Consumers celebrate as insurance ombudsman rules in their favour

Consumers celebrate as insurance ombudsman rules in their favour

06 May 2009 | General
FAIS Ombudsman punishes FSP for fraud and poor advice

FAIS Ombudsman punishes FSP for fraud and poor advice

28 April 2009 | FAIS Ombudsman
FAIS Ombud orders full refund of investment

FAIS Ombud orders full refund of investment

24 April 2009 | FAIS Ombudsman
quick poll
Question

Are financial advisers ready for the combined impact of COFI and AI?

Answer
An open letter to Mr Jonathan Dixon, Deputy Executive Officer of Insurance, FSB

An open letter to Mr Jonathan Dixon, Deputy Executive Officer of Insurance, FSB

Beware of liability when buying or selling a short-term book

Beware of liability when buying or selling a short-term book

16 April 2009 | FAIS Ombudsman
Financial adviser not responsible for client’s ill discipline

Financial adviser not responsible for client’s ill discipline

14 April 2009 | FAIS Ombudsman
Broker must cough up as he cannot show proof of advice

Broker must cough up as he cannot show proof of advice

11 April 2009 | FAIS Ombudsman
FAIS Ombud dismissed complaint against Old Mutual

FAIS Ombud dismissed complaint against Old Mutual

11 April 2009 | FAIS Ombudsman
Ombud lambasts broker who tries to fleece friend after payout

Ombud lambasts broker who tries to fleece friend after payout

11 April 2009 | FAIS Ombudsman
ASISA: Adviser research reveals investors with nerves of steel

ASISA: Adviser research reveals investors with nerves of steel

UK regulators back down on commission plan

UK regulators back down on commission plan