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Headline Stories of the Week

FST case summary involving Tshiqi Zebediela Attorneys and ...

17 Sep 2020 Financial Service Intelligence Watch

By Shamaa Sheik The following matter was handed down in the Financial Services Tribunal on 7 September 2020: Tshiqi Zebediela Attorneys (Applicant) and Pension Fund Adjudicator (1st Respondent); Moses Mukhansi (2nd Respondent); Legal Provident Fund (Pty) Ltd (3rd Respondent) – ...

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Opportunities post-COVID-19 lockdown

17 Sep 2020 Financial Service Intelligence Watch

By Lee Rossini Although many financial advisors are feeling that they may have come through the worst of the Covid-19 crisis relatively unscathed, now is the time to be most vigilant. Research indicates that, as unlikely as it may seem, ...

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Data protection – ICO in UK fines company ...

16 Sep 2020 Financial Service Intelligence Watch

The UK's Information Commissioner’s Office (ICO) has issued a fine under a law brought in to stop scammers defrauding people out of their pensions. Swansea company CPS Advisory Ltd was fined £130,000 for making more than 100,000 unauthorised direct marketing ...

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Result of UK FCA’s Business Interruption test case; ...

16 Sep 2020 Financial Service Intelligence Watch

On Tuesday the UK High Court handed down its judgment in the UK's Financial Conduct Authority’s (FCA)’s business interruption insurance test case. The Court found in favour of the arguments advanced for policyholders by the FCA on the majority of ...

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Latest Compliance News

Client-centric compliance

By Lee Rossini

Although one of the main objectives of compliance legislation is to protect the best interests of the client, the requirements that must be met by financial advisors are not always ‘client-friendly’. The reason being that meeting the compliance requirements means following the laws, rules, and policies to ...

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Opportunities post-COVID-19 lockdown

By Lee Rossini

Although many financial advisors are feeling that they may have come through the worst of the COVID-19 crisis relatively unscathed, now is the time to be most vigilant. Research indicates that, as unlikely as it may seem, during a downturn in the market is when clients are ...

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Latest Open-Source Library Items
Working Smart

By Lee Rossini

Although many financial advisors are feeling that they may have come through the worst of the COVID-19 crisis relatively unscathed, now is the time to be most vigilant. Research indicates that, as unlikely as it may seem, during a downturn in the market is when clients are most likely to make the decision to change their financial advisor. The reasons for doing so are many and varied; clients may feel that their financial advisor failed to monitor and rebalance their portfolio or they did not communicate with them regularly during lockdown. When clients have suffered a major setback, they also sometimes feel the need to make a fresh start by moving to the financial advisor their brother, friend or colleague swears by. Another reason is the need for a second opinion as many clients are asking themselves whether they have received the best advice in the circumstances.  

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