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Sloppy administration hits broker hard

13 January 2009 | FAIS Ombudsman

FAIS Ombud: Broker who leaves everything to clerk ordered to pay

09 January 2009 | FAIS Ombudsman

FAIS Ombud questions honesty of provider who charges additional commission without consent

06 January 2009 | FAIS Ombudsman

Ombud raps broker for not disclosing the difference between a “nominated” and “regular” driver

06 January 2009 | FAIS Ombudsman

quick poll

Question

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

Answer

Yes, fully prepared and already adapting Somewhat prepared, but still facing implementation challenges Not yet prepared, more time and support needed Unsure / still assessing the impact

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FAIS Ombud: Broker ordered to pay client who loses all in pyramid type forex investment

06 January 2009 | FAIS Ombudsman

Will the insurers ever take responsibility?

03 December 2008 | FAIS Ombudsman

Fourteen advisers S Referenced during October

02 December 2008 | Association for Savings & Investment SA (ASISA)

Ombuzz: Issue 9

02 December 2008 | Life Ombudsman

Fundisa pays R390 000 reward to parents who save

27 November 2008 | Association for Savings & Investment SA (ASISA)

Ombud raps broker for not advising client of vehicle depreciation and the resultant lower premium

27 November 2008 | FAIS Ombudsman

Delays in document processing can be costly

17 November 2008 | FAIS Ombudsman

FAIS Ombud warns brokers not to place cover without proper documentation

13 November 2008 | FAIS Ombudsman

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Compliance - Regulatory

Sloppy administration hits broker hard

FAIS Ombud: Broker who leaves everything to clerk ordered to pay

FAIS Ombud questions honesty of provider who charges additional commission without consent

Ombud raps broker for not disclosing the difference between a “nominated” and “regular” driver

FAIS Ombud: Broker ordered to pay client who loses all in pyramid type forex investment

Will the insurers ever take responsibility?

Fourteen advisers S Referenced during October

Ombuzz: Issue 9

Fundisa pays R390 000 reward to parents who save

Ombud raps broker for not advising client of vehicle depreciation and the resultant lower premium

Delays in document processing can be costly

FAIS Ombud warns brokers not to place cover without proper documentation