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Keeping you up to date with all the latest news and announcements. We post regular compliance updates here.

FINANCIAL SOUNDNESS REQUIREMENTS FOR JURISTIC REPRESENTATIVES
FINANCIAL SOUNDNESS REQUIREMENTS FOR JURISTIC REPRESENTATIVES 11th Feb 2019
The financial soundness requirements relating to juristic representatives, as set out in Board Notice 194 of 2017 (BN 194), will take effect on 1 March 2019. In summary, the following requirements will apply: 1. Juristic representatives of a Category I FSP that does not hold, control or have access to client assets or that does […]
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NEW STAFF APPOINTMENTS AT ICS
NEW STAFF APPOINTMENTS AT ICS 6th Feb 2019
 Joëlle Laubscher joined ICS as from 1 February 2019. Joëlle is an admitted attorney with an LLB degree from the University of Stellenbosch. She has also completed the Postgraduate Certificate in Compliance Management from the University of Cape Town. Joëlle will work as a trainee compliance officer, and assist with general legal and technical queries. Talia […]
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FINANCIAL SOUNDNESS REQUIREMENTS FOR JURISTIC REPRESENTATIVES
FINANCIAL SOUNDNESS REQUIREMENTS FOR JURISTIC REPRESENTATIVES 11th Feb 2019
NEW STAFF APPOINTMENTS AT ICS
NEW STAFF APPOINTMENTS AT ICS 6th Feb 2019
REVISED REGULATORY EXAM PREPARATION GUIDE
REVISED REGULATORY EXAM PREPARATION GUIDE 4th Feb 2019
FICA REMINDER: RISK MANAGEMENT AND COMPLIANCE PROGRAMME
FICA REMINDER: RISK MANAGEMENT AND COMPLIANCE PROGRAMME 4th Feb 2019
SUBMISSION OF EARLY WARNING NOTIFICATIONS TO THE FSCA
SUBMISSION OF EARLY WARNING NOTIFICATIONS TO THE FSCA 31st Jan 2019
TRIBUNAL DECISION: DEBARMENT PROCESS MUST COMPLY WITH FAIS ACT
TRIBUNAL DECISION: DEBARMENT PROCESS MUST COMPLY WITH FAIS ACT 28th Jan 2019
REVISED REGULATORY EXAM PREPARATION GUIDE
REVISED REGULATORY EXAM PREPARATION GUIDE 4th Feb 2019
The Preparation Guide for Regulatory Examinations (RE 1 and RE 5) applicable for examinations as from 1 February 2019...
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FICA REMINDER: RISK MANAGEMENT AND COMPLIANCE PROGRAMME
FICA REMINDER: RISK MANAGEMENT AND COMPLIANCE PROGRAMME 4th Feb 2019
The FIC and other supervisory bodies will impose administrative sanctions for non-compliance with this requirement as from 2 April 2019.
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SUBMISSION OF EARLY WARNING NOTIFICATIONS TO THE FSCA
SUBMISSION OF EARLY WARNING NOTIFICATIONS TO THE FSCA 31st Jan 2019
Early warning notifications in terms of section 49 should be submitted to the FSCA...
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TRIBUNAL DECISION: DEBARMENT PROCESS MUST COMPLY WITH FAIS ACT
TRIBUNAL DECISION: DEBARMENT PROCESS MUST COMPLY WITH FAIS ACT 28th Jan 2019
A recent application (Malcolm Winston Hendricks and Overberg Wealth and Risk Management (Pty) Ltd) was brought before the Financial Services Tribunal following the debarment of a representative by an FSP.
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