The US Securities and Exchange Commission (SEC) has charged Invesco Advisers, Inc. with making misleading claims about the integration of environmental, social, and governance (ESG) factors in its investment decisions. The SEC’s findings reveal that between 2020 and 2022, Invesco ...
Read More ...South Africa currently ranks 32nd out of 54 countries in terms of cyber security preparedness, as revealed by a recent study from Psono, an open-source password manager. This ranking highlights the nation’s vulnerability in handling data security challenges, with an ...
Read More ...The Financial Intelligence Centre Act (FIC Act) and the Companies Act create distinct legal frameworks to uncover beneficial ownership in South Africa, reports Cliffe Dekker Hofmeyr. While the FIC Act mandates accountable institutions to verify the beneficial owners of their ...
Read More ...The Australian Securities and Investments Commission (ASIC) has announced its enforcement priorities for 2025, targeting key issues impacting consumers, businesses, and the broader economy. In response to current cost-of-living challenges, ASIC is focusing on areas where misconduct or non-compliance could ...
Read More ...
The Financial Intelligence Centre has issued a directive in terms of section 43A(2) of the Financial Intelligence Centre Act, 2001 (Act 38 of 2001), writes Wyndham Hartley for CompliNEWS.
The purpose of the directive is to ensure that accountable institutions that provide or engage in activities of crypto asset transfers, implement ...
Read More
Legalbrief Today
The JSE has fined disgraced economist Thabi Leoka R500 000 and banned her from holding directorship of a publicly listed company for five years for falsifying her qualifications. BusinessLIVE reports that the bourse on Friday said it was satisfied Leoka’s claim that she held a PhD from the ...
Read More
The National Treasury has put forward a proposal to distinguish hedge funds from other collective investment schemes (CIS), saying the R120bn industry needs to be given room to grow. A Business Day report says should the proposal be passed into law, hedge funds will no longer fall under the tax ...
Read MoreOn 14 October 2006, Complainant went to Respondent’s furniture shop, Barnetts at Port Shepstone, Kwa-Zulu Natal. She wanted to buy a small television set and a small stove.
Gumede vs. JD Group (2008) (Credit Life insurance)
CONDUCT OF BUSINESS REPORT FOR THE PERIOD ENDING
By Lee Rossini
Giving financial advice is an intangible service – it doesn’t involve a physical product that clients can see, touch or easily quantify. Instead, it consists of expertise, trust, planning and strategic insights tailored to meet clients’ financial goals. This makes financial advice complex to package, market and sell, yet with the right approach, financial advisors can demonstrate its value to clients.
Subscribers are reminded that they can now complete their monthly CPD quizzes and claim CPD hours. For more on accessing the CPD quizzes, please click on the CPD FAQs button on the top bar of the screen.
