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FAIS FIT AND PROPER

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30
Sep
By No Comments

DEBARRED! DOES IT CLOSE THE DOOR ON A CAREER IN FINANCIAL SERVICES?

Being debarred by a regulator or removed from a professional register is one of the most serious career setbacks anyone in the financial services sector can face. In South Africa, a debarment can result from regulatory findings under the FAIS regime, disciplinary decisions, or criminal convictions that make a person unfit to hold a regulated position. The practical […]
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12
Jun
By 1 Comment

COFI, FAIS AND THE NEW COMPLIANCE REALITY: WHAT FINANCIAL SERVICE FIRMS MUST PUT IN PLACE

South Africa’s regulatory landscape for financial services is changing. The proposed Conduct of Financial Institutions (COFI) framework reframes how firms are authorised and supervised: where the FAIS regime authorised financial services providers based primarily on the products they sold (insurance, investment products, long‑term savings, etc.), COFI shifts the focus to the activities firms perform, giving […]
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29
Oct
By No Comments

FAIS FIT AND PROPER: WHAT IT MEANS FOR EMPLOYEES & EMPLOYERS IN A CAREER IN FINANCIAL SERVICES

In the fast-paced world of financial services, trust and professionalism are everything. As a financial adviser or representative, your reputation hinges on your competence, honesty, and ongoing commitment to learning. This is where the FAIS (Financial Advisory and Intermediary Services) Fit and Proper requirements come into play, setting the standard for all professionals in the […]
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Jenny Reid

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DEBARRED! DOES IT CLOSE THE DOOR ON A CAREER IN FINANCIAL SERVICES?

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