
Source: The Culture of Compliance, Lori Richards, Director, Office of Compliance Inspections, 2003 |
Compli-Poll |
|
Compli-Tip |
|
|
Beware the tick box approach to compliance Some advisors feel that they can do no wrong if they present a Record of Advice in the client file, however one needs to understand that this record must actually be able to be entered into evidence i.e. it should be dated, ideally signed by the client and the advisor, and clearly lay out the needs and objectives, recommendations and motivation. If this is not the case, even if the document is looking good in the file, it is to all intents and purposes, useless.
|
24 May 2013: Delay in publishing of 2013 FAIS compliance reports
[23-May-2013]
24 May 2013: Old Mutual receives FSB warning - RISKSA
[23-May-2013]
24 May 2013: FSB INITIATES REGULATORY ACTION AGAINST OLD MUTUAL-non-compliance with Directive 159.A.i (LT & ST)
[23-May-2013]
24 May 2013: FSB Media Release - Update on Licenses for Financial Services Providers - 21 May 2013
[23-May-2013]
24 May 2013: Conducting Audits: Financial and Compliance Teams
[23-May-2013]
21 May 2013: Moonstone commentary on Arthur J Brown verdict- Justice delayed…
[21-May-2013]
21 May 2013: Moonstone: Intermediary Services Explained
[21-May-2013]
21 May 2013: Business Continuity Plans – Are You Prepared for an Emergency?
[21-May-2013]
20 November 2012: CompliNEWS- Guide to South Africa’s PREMIER Compliance News & Information Service
CS Presentation- Presentation on License Categories – Securities and Instruments
CS Presentation-Qualifications; Exemptions and CPD (September 2012)
CS Presentation- A REVISION OF LICENCE CATEGORIES & UPDATE ON SECOND LEVEL REGULATORY EXAM
| 14 Day free trial |
| Knowledge Service Login |
| FSB |