Compli-Serve Security through Knowledge

Top 20 recently added resources

  30 July 2010: Interesting whitepaper from the UK- Annual ARROW survey-is it now time to be afraid of the FSA? (Remember our FSB also use the ARROW framework in terms of supervision)
  30 July 2010: quickNEWS- latest international compliance news at a glance-30 July 2010
  30 July 2010: The Companies Amendment Bill, 2010- to Rectify the Companies Act
  30 July 2010: New bill attempts to unite knots in flawed company legislation;runs to some 102 pages, seeks to amend no less than 110 of the 225 sections of the act, with many of the sections being amended in several different respects
  30 July 2010: Madoff trustee sues family entities
  30 July 2010: UK Ombud receives 13,520 complaints regarding payment protection insurance (PPI) in the first three months of 2010; tops overall complaints lists
  30 July 2010: Details of EU & Canadian Sanctions on Iran to be Released
  30 July 2010: Junior staff at regulator endure a ‘culture of bullying’
  30 July 2010: UK Government finally unveils proposals to reform tripartite financial regulatory system which would see the dismantling of FSA
  30 July 2010: FICA- NEW REQUIREMENTS FOR PERSONS ACTING AS LONG-TERM INSURANCE BROKERS AND INVESTMENT ADVISORS (INCLUDING INVESTMENT BROKING SERVICES) - IMPLEMENTATION OF REVISED STR AND TPR FORMS AND CASH THRESHOLD REPORTING (letter to FSPs)
  30 July 2010: Fox News invents a rule exempting SEC from FOIA compliance
  30 July 2010: SEC Charges Citigroup and Two Executives for Misleading Investors about Exposure to Subprime Mortgage Assets; Citigroup agreed to pay a $75 million penalty
  30 July 2010: IG eZine July 2010 (Source: Insurance Gateway)
  30 July 2010: Issue 87 of “Ombudsman news” from the UK's Ombudsman Service- complaints data, travel insurance...
  29 July 2010: FSB Bulletin- Quarter 2.2010- loads of useful insights here
  29 July 2010: South Africa: Adopting all of Basel 3 could harm our system
  29 July 2010: ASIC turns torch onto Storm's legality- Failed Storm Financial and associated parties may have broken the law by promoting an unregistered managed investment scheme, according to the nation's corporate watchdog
  29 July 2010: Basel III: Devil remains firmly in the detail as regulators 'broadly agree overall design' of reforms
  29 July 2010: New Zealand: Regulator finds issuers need to improve disclosure
  29 July 2010: U.K.'s FSA Can Prosecute Money-Laundering Offenses, Supreme Court Rules

 


Latest Compliance News

More Compliance News

Contact Us 0861 273 783 (CSERVE)

Top Downloads

PDF document  7 June 2010: Latest CompliNEWS newsletter (18/2010) News on compliance report and other main compliance news for the week (Trial the Knowledge Service for 14 days)

PPT document  3 June 2010: Compli-Serve Seminar presentation- the 2010 Compliance Report

PDF document  1 June 2010: Financial Advisory and Intermediary Services Act: Determination of compliance report for category I: Authorised financial services providers with a compliance officer, BN 77

PDF document  1 June 2010: Financial Advisory and Intermediary Services Act: Determination of compliance report for category II, IIa and forex authorised financial services providers, BN 78

PDF document  2 June 2010: Financial Advisory and Intermediary Services Act: Determination of compliance report for category I: Authorised financial services providers without a compliance officer, BN 76

PDF document  2 June 2010: Financial Advisory and Intermediary Services Act: Determination of compliance report for category III: Authorised financial services providers,BN 81

PDF document  2 June 2010: Financial Advisory and Intermediary Services Act: Determination of compliance report for category II and forex authorised financial services providers,BN 80

PDF document  2 June 2010: Financial Advisory and Intermediary Services Act: Determination of Compliance report for authorised foreign financial services providers, BN 84

PDF document  2 June 2010: Financial Advisory and Intermediary Services Act: Determination of compliance report for category IV: Authorised financial services providers,BN 83

PDF document  20 February 2010: Fit4FAIS-Training for the 1st Level FAIS Regulatory Exams; www.fit4fais.co.za

DOC document  20 February 2010: THE KNOWLEDGE SERVICE-SA’s only dedicated compliance news and information portal serving the whole SA Financial Services Industry