What conduct constitutes financial advice and what would amount to negligent financial advice? So asks Christine Rodrigues, a partner at Hogan Lovells South Africa, in a recent commentary in FA News.
In Atwealth (Pty) Ltd & others v Kernick & others (28 March 2019), the Supreme Court of Appeal ...
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As the CPD cycle in May 2019 draws tom a close, one is getting a clearer picture about the new approach that the Financial Sector Conduct Authority (FSCA) and National Treasury (Treasury) want to take when it comes to the conduct of the financial services industry, notes FA News. It notes ...
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Compli-Serve
A breath of fresh air! Albeit a bit late!
The South African Financial Services Authority (FSCA), has published what I will call a 'conditional' exemption from continuous professional development (CPD) requirements for members of foreign professional bodies. This is NOT a blanket exemption. It is however, an exemption ...
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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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