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24 May 2019 Financial Service Intelligence Watch

International conduct learnings

Rob Everett, CE, FMA (New Zealand)

'I spent last week in Sydney at IOSCO meetings (the global standards-setter for securities regulators) and the annual ASIC conference.  As well as debating best practice for securities regulation, it was a great opportunity to learn more about how our regulatory counterparts in ...

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FCA wins High Court case against unauthorised forex firm

A financial services firm in the UK that received at least £1m (R18 million) from investors but only used a small amount of it for trading has been held to have carried out an unauthorised investment scheme, notes Professional Adviser

The High Court in London declared Xcore Capital Ltd and ...

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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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