The U.S. Treasury's OFAC announced a $11.5M settlement on Dec 2, 2025, with San Francisco-based private equity firm IPI Partners, LLC, resolving 51 apparent violations of Russia/Ukraine sanctions. The case involves IPI accepting ~$15M from sanctioned Russian oligarch Suleiman Kerimov ...
Read More ...* On December 1, 2025, the UK's Financial Conduct Authority (FCA) published Consultation Paper 25/34 (CP25/34), outlining proposed rules to regulate environmental, social, and governance (ESG) ratings providers. This follows HM Treasury's legislation in October 2025, which expanded the FCA's ...
Read More ...By Compli-Serve The financial services industry has long relied on referrals to grow business, particularly in the investment and wealth space. Introductions are part of normal commercial activity. But the line between a simple introduction and an unlicensed intermediary service ...
Read More ...CDH reports that data protection is moving up the risk agenda. South Africa’s Information Regulator recorded 2,374 data breaches in 2024/25 and is backing warnings with real penalties. Recent fines against Lancet Laboratories, FT Rams Consulting and Blouberg Municipality show ...
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The FSCA has issued one of its most substantial enforcement actions to date against the Medbond group of companies and two of its senior figures, following extensive findings of misconduct, unauthorised financial-services activity, and misappropriation of client funds. Medbond Insurance Brokers (Pty) Ltd and its principal, Jacobus Meyer, were hit ...
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South Africa has formally ushered in a new era of tax transparency with the publication of Regulation R6887 in Government Gazette 53735 (28 November 2025), issued under the Tax Administration Act, 2011. The Minister of Finance has now embedded the OECD’s Crypto-Asset Reporting Framework (CARF) into domestic law, creating a ...
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By Compli-Serve
The cryptocurrency market stumbled into December 2025, extending November’s sharp sell-off and setting a grim tone for the final month of the year. What analysts had hoped would be a seasonal reset instead evolved into a continuation of last month’s 17–22% decline. Bitcoin led the slide, dropping close ...
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
Understanding the basics of behavioural finance is essential when giving clients financial advice. While traditional finance assumes clients make decisions rationally, behavioural finance recognises that people are influenced by emotions, mental shortcuts and unconscious biases. These influences can lead clients to make decisions that conflict with their long-term financial interests. Understanding these behavioural tendencies is crucial – not only to support clients to make better choices, but also to improve engagement, trust and outcomes.
Subscribers are reminded that they can complete monthly CPD quizzes and claim CPD hours before the 31 May 2025 deadline. View the CPD FAQs for more on accessing the CPD quizzes.
