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24 May 2019 Financial Service Intelligence Watch

FSCA fines Charles Winshaw R10,000 for representative failings

According to the order issued by the enforcement division of the Financial Sector Conduct Authority (FSCA), Charles Winshaw transgressed s 13(1)(b)(i) of the Financial Advisory and Intermediary Services Act 37 of 2002 (FAIS Act), in that he acted as a representative of an authorised FSP, but failed ...

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Working Smart

By Lee Rossini

Most financial advice businesses start off small, usually with the founder playing the role of owner, manager and financial adviser. However, as the business grows, planning and implementing organisational structures becomes more of a priority as the need for specialised positions and departments arises. The organisational chart, job design and analysis form an important part of this process. The information gathered from these exercises, specifically the job analysis, is subsequently used to draw up the job descriptions (JD).    

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