The UK’s Upper Tribunal has upheld the Financial Conduct Authority’s decision to ban Richard Fenech and Heather Dunne from working in financial services. The Tribunal found that both had acted dishonestly by submitting a backdated appointed representative agreement to the ...
Read More ...The following matter was handed down by the Financial Services Tribunal on 3 August 2026: · Parties: Maake v Sanlam Developing Markets Limited · Case number: FSP 8/2026 Key words Debarment for corruption seeking reconsideration — Procedural fairness requirements of ...
Read More ...By James George, Compli-Serve The blunt reality is that Banxso accounts for approximately 71% of the FSCA’s total administrative penalties for the 2025/26 reporting year. The Regulatory Actions report covers the period from 1 April 2025 to 31 March 2026. ...
Read More ...Africa Sustainability Matters reports that sustainability reporting and assurance are rapidly becoming strategic priorities for African businesses as mandatory ESG disclosure requirements draw closer. With frameworks such as IFRS S1 and IFRS S2 gaining momentum, companies can no longer treat ...
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The UK’s Upper Tribunal has upheld the Financial Conduct Authority’s decision to ban Richard Fenech and Heather Dunne from working in financial services. The Tribunal found that both had acted dishonestly by submitting a backdated appointed representative agreement to the FCA. It also found that Dunne had falsely claimed ...
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Financial Services Tribunal ('FST' or 'the Tribunal')
Parties: Maake v Sanlam Developing Markets Limited (Case number: FSP 8/2026)
Judgment date: 3 August 2026
Key words
Debarment for corruption seeking reconsideration – Procedural fairness requirements of s 14(3) satisfied by written notice, disclosure of policy/investigation report and reasonable opportunity ...
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By James George, Compli-Serve
The blunt reality is that Banxso accounts for approximately 71% of the FSCA’s total administrative penalties for the 2025/26 reporting year. The Regulatory Actions Report covers the period from 1 April 2025 to 31 March 2026.
The FSCA recorded total administrative penalties of R2 888 679 ...
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
Client feedback is a valuable resource when it comes to managing a financial services business. Understanding how clients perceive their experience is essential for building trust and improving service quality. Listening to clients, and taking their feedback seriously, enables businesses to adapt their business model to remain competitive and relevant.
Read more...Subscribers are reminded that they can complete monthly CPD quizzes and claim CPD hours before the 31 May deadline. View the CPD FAQs for more on accessing the CPD quizzes.
