May 2019 - Associated Compliance Newsletter
CPD June 2019 to May 2020
Just when you thought it was safe to take your foot of the CPD pedal, and for some that pedal was flat to the floor during May, you are already in...
From AC HAS
The legalisation of cannabis for private use has made headlines in the last couple of months, and a number of people have been following this with great interest. The Human Resources fraternity has been following it extra carefully to see...
Kim Hatchuel from AC-Proofed ensures that this monthly newsletter, all documents and templates on the Associated Compliance website, and clients’ documents are accurate and free from any errors. She could do the same for your FAIS and company documents.
From the FSCA
Updated approved qualification lists
These were released towards the end of May. While the detail is necessary and appreciated, it did bring to mind just how complicated this process has become. There are 193 pages (19 MB) of data in the PDF listing, and this is supported by the (user friendly) Excel versions, 12 of them, that break down the PDF data into various segments, e.g. those qualifications approved for...
From the FSCA/FIC
Amendment Act and supervisory approach
A series of documents released which clearly sets out what an Accountable Institution should ALREADY have in place and the focus for...
Interesting things we have read
Who’s to blame?
A summary of a FAIS Ombud ruling which relates to a broker identifying a client with shares she was not even aware of, and then supplying information that led to the client investing the money elsewhere in a product that meant...
Safeguarding IP – a critical governance matter!
We have received a number of approaches of late from clients when a business relationship breaks down between two partners, e.g. Insurer/UMA and more so Insurer/UMA and broker where the specifics of...
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