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Feel free to explore and read our publications here and on our social platforms!

The sun has set for venture capital companies

Published by LeRoux van Wyk on 2021-02-24 in Income Tax Act 12J VCC

Income Tax Act Section 12J

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Pre-populated advice records

Published by LeRoux van Wyk on 2021-01-26 in FSCA FAIS Advice Records

Financial Sector Conduct Authority

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Crypto assets to be declared a financial product

Published by LeRoux van Wyk on 2020-11-30 in Crypto-Assets FAIS

Financial Advisory and Intermediary Services Act

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Second Draft of the COFI Bill published

Published by LeRoux van Wyk on 2020-11-16 in COFI Twin Peaks FSR

Conduct of Financial Institutions

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POPI Do it yourself

Published by LeRoux van Wyk on 2020-10-05 in POPI

Protection of Personal Information Act

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Identifying criminal activities

Published by LeRoux van Wyk on 2020-09-21 in FIC Criminal Activity

Financial Intelligence Centre Act

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Record-keeping requirements of an FSP - Part 2

Published by LeRoux van Wyk on 2020-08-19 in FAIS Record-Keeping

Financial Advisory and Intermediary Services Act

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Record-keeping requirements of an FSP - Part 1

Published by LeRoux van Wyk on 2020-07-30 in Record-Keeping Financial Services Industry

Financial Advisory and Intermediary Services Act

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Regulation of Crypto Assets

Published by LeRoux van Wyk on 2020-06-19 in Crypto-Assets IFWG

The IFWG on regulation of crypto-assets

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Lessons from the Battlefield

Published by LeRoux van Wyk on 2020-06-12 in COVID-19

After Covid-19

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NCR and CIPC on Covid-19

Published by LeRoux van Wyk on 2020-05-26 in NCR CIPC COVID19

Arrangements and special circumstances surrounding the Corona Virus of 2020

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A risk based approach to ensuring safe work environments

Published by LeRoux van Wyk on 2020-05-18 in Covid-19 OHS Workplace Safety

Occupational Health and Safety

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Customer Due Diligence on Life Insurance Benefits

Published by LeRoux van Wyk on 2020-04-20 in FICA Customer Due Diligence Life Insurance PCC

FIC Public Compliance Communication

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An update on the POPI Act

Published by LeRoux van Wyk on 2020-04-11 in POPI Act

Protection of Personal Information Act

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Financial relief measures during the Covid-19 pandemic

Published by LeRoux van Wyk on 2020-04-02 in Covid-19 Business Relief UIF

Department of Small Business Development

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How should a business implement the FIC Act amendments?

Published by LeRoux van Wyk on 2020-03-25 in FIC Amendment Act Penalties

FIC Amendment Act

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Amendments to the FAIS General Code of Conduct

Published by LeRoux van Wyk on 2020-03-23 in FAIS General Code of Conduct Amendments

FAIS General Code of Conduct

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Employees health and well-being must be your top priority for 2020

Published by LeRoux van Wyk on 2020-02-20 in Health and Safety

Occupational Health and Safety

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Update on the Retail Distribution Review

Published by LeRoux van Wyk on 2020-01-21 in Financial Services

General status update as at December 2019

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Engaging with your client

Published by LeRoux van Wyk on 2019-12-13 in

Financial needs analysis and proposals - Part 3

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Who is required to register as a credit provider?

Published by LeRoux van Wyk on 2019-11-15 in National Credit Act Financial Services

National Credit Act

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Engaging with your client

Published by LeRoux van Wyk on 2019-10-07 in Client engagement Introduction Gathering client information

Introduction and gathering information - Part 2

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Termination of a business relationship

Published by Lizelle Conradie on 2019-08-27 in

Frequently Asked Questions

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Engaging with your client

Published by LeRoux van Wyk on 2019-08-26 in

Overview of the client engagement process - Part 1

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National Health Insurance Bill

Published by Lizelle Conradie on 2019-08-19 in

NHI Bill tabled in Parliament

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Unauthorised use of a prohibited mark

Published by Lizelle Conradie on 2019-08-15 in Governance Prohibited mark Merchantile Act

The Minister of trade may prohibit the use of certain marks

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Customer complaints resolution

Published by Lizelle Conradie on 2019-08-12 in Financial Services FAIS FSCA complaints resolution

Frequently Asked Questions

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The High Court ruling changes debt collection practices

Published by Lizelle Conradie on 2019-08-05 in Credit providers NCR debt collection

Common law “set-off” is not applicable to credit agreements

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Advertising financial services

Published by Lizelle Conradie on 2019-07-26 in Financial Services FAIS FSCA Advertisement

Frequently Asked Questions

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Jurisdictions with strategic anti-money laundering and counter-terror financing deficiencies

Published by Lizelle Conradie on 2019-07-24 in FIC Risk assessment high-risk jurisdictions

FIC advises on higher risk jurisdictions

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Levies on financial institutions

Published by Lizelle Conradie on 2019-07-19 in Financial Services FAIS FSCA Levies

Frequently Asked Questions

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Conflict of interest

Published by Lizelle Conradie on 2019-07-12 in

Frequently Asked Questions

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Failure to comply with the General Code of Conduct is the cause of client's financial loss

Published by Lizelle Conradie on 2019-07-11 in Financial Services FAIS FAIS Ombudsman General Code of Conduct

A FAIS Ombudsman determination

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Financial services delivery models (Part 3)

Published by Lizelle Conradie on 2019-07-09 in Financial Services FSCA FAIS Regulatory requirements

Additional regulatory requirements

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Updating business information with the FSCA

Published by Lizelle Conradie on 2019-07-05 in Financial services FSCA FAIS Request for information

Frequently Asked Questions

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Financial services delivery models (Part 2)

Published by Lizelle Conradie on 2019-07-03 in Financial services FSCA FAIS direct marketing Automated advice Execution of sales

Differences between direct marketing, automated advice and execution of sales

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Debarment of representatives

Published by Lizelle Conradie on 2019-07-01 in

Frequently Asked Questions

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Financial services delivery models (Part 1)

Published by Lizelle Conradie on 2019-06-25 in Financial services FAIS FSCA

The differences between financial services and service delivery models

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COMPETENCE REQUIREMENTS - Continuous Professional Development

Published by Lizelle Conradie on 2019-06-21 in Financial Services FAIS FSCA CPD

Frequently Asked Questions

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Competence requirements - Product specific training

Published by Lizelle Conradie on 2019-06-14 in Financial Services FAIS FSCA Product specific training

Frequently Asked Questions

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The final format for the replacement advice record

Published by Lizelle Conradie on 2019-06-13 in Financial services FSCA FAIS Replacement advice record

Rule 19 of the Policyholder Protection Rules (Long-term Insurance)

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Competence Requirements - Class of business training

Published by Lizelle Conradie on 2019-06-11 in Financial Services FAIS FSCA Class of business

Frequently Asked Questions

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FAIS Product Categorisation

Published by Lizelle Conradie on 2019-06-05 in Financial services FAIS FSCA Tier 1 and Tier 2

New product definitions and Tier 1&2 product categorisation

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Competence Requirements - Qualifications

Published by Lizelle Conradie on 2019-05-24 in Financial services FAIS FSCA

Financial Advisory and Intermediary Services Act

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Obligations of Reporting Institutions

Published by Lizelle Conradie on 2019-05-22 in Financial Services FICA

Financial Intelligence Centre Act

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Exemption on CPD activities extended

Published by Lizelle Conradie on 2019-05-21 in Financial services FAIS FSCA

FSCA published exemption

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Competence Requirements - Minimum Experience

Published by Lizelle Conradie on 2019-05-17 in Financial Services FAIS FSCA

Financial Advisory and Intermediary Services Act

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Proposed increase in fees payable for medical broker

Published by Lizelle Conradie on 2019-05-13 in Financial services CMS

Amendment to Regulation 31 & 32 of the Medical Schemes Act

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Honesty, integrity and good standing

Published by Lizelle Conradie on 2019-05-10 in Financial Services FAIS FSCA

Financial Advisory and Intermediary Services Act

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Business continuity and key individuals of a financial services provider

Published by Lizelle Conradie on 2019-05-07 in Financial Services FSCA FAIS

Frequently Asked Question

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FIC implements targeted financial sanctions

Published by Lizelle Conradie on 2019-04-18 in Financial Services FIC

An overview of measures to implement UNSC resolutions

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B-BBEE reporting to the Financial Sector Transformation Council

Published by Lizelle Conradie on 2019-04-17 in Financial Services FIC FSTC

Reporting requirements

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Are representatives under supervision required to comply with the CPD requirements?

Published by Lizelle Conradie on 2019-04-12 in Financial Services FAIS FSCA

Financial Advisory and Intermediary Services Act

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Invitation to comment on the proposed format replacement advice record

Published by Lizelle Conradie on 2019-04-10 in Financial Services FAIS FSCA

Individual risk policies

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CPD requirements as a member of a professional body vs CPD requirements in terms of the FAIS Fit and Proper Determination

Published by Lizelle Conradie on 2019-04-05 in Financial Services FAIS FSCA

CPD explained

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The new licensing framework introduced by the COFI Bill

Published by Lizelle Conradie on 2019-03-27 in Financial Services COFI

A short summary on the activity based approach to licensing

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Rules-based approach vs Principle-based approach to regulation in the Financial Industry

Published by Lizelle Conradie on 2019-03-19 in Financial Services FAIS COFI

A closer look at the differences between the two approaches

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Financially sound at all times

Published by Lizelle Conradie on 2019-03-07 in financial soundness fit and proper requirements solvency

A brief discussion on the amended FAIS fit and proper requirements relating to financial solvency

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Conduct of Financial Institutions Bill

Published by Lizelle Conradie on 2019-02-06 in financial services cofi

A short summary of the proposed changes

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Exemption of Services under supervision

Published by LeRoux van Wyk on 2019-01-17 in financial services fais supervision

Part 1

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Recent changes to the labour legislation

Published by LeRoux van Wyk on 2019-01-17 in labour

Highlights of some of the changes

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FAIS Product Specific Training

Published by Lizelle Conradie on 2018-10-31 in Product Specific Training BN 194 of 2017 Fit and Proper

What you need to know

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Re-entering the financial industry?

Published by LeRoux van Wyk on 2018-10-24 in CPD DOFA Regulatory Exams Qualifications Experience Fit and Proper

A case study on re-entering the financial industry as a representative

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First level regulatory examinations

Published by Lizelle Conradie on 2018-10-09 in RE; RE exams

Frequently asked questions

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Corporate Culture and Risk Management

Published by Lizelle Conradie on 2018-10-01 in

How in the future, companies will move towards an increased organisational assurance or integrated a

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A status update on RDR

Published by Lizelle Conradie on 2018-07-17 in RDR adviser remuneration fais general code of conduct

A short summary regarding the status update given by the FSCA

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What is in a name?

Published by Lizelle Conradie on 2018-06-20 in business name trading as consumer protection act

Things to consider when selecting your company name...

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Exemption of Services under supervision

Published by Lizelle Conradie on 2018-05-09 in Exemption services under supervision

Part 2

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Frequently Asked Questions

  • 2020-10-14 What are the definitions of the FAIS license categories?
    FAIS License Categories
  • 2020-09-07 How can I change my DOFA records with the FSCA?
    FSCA FAIS Date of First Appointment
  • 2020-07-30 What is continuous professional development or CPD?
    Financial Advisory and Intermediary Services Act
  • 2020-07-30 Does CPD requirements apply to all FSPs, Key Individuals and representatives?
    Financial Advisory and Intermediary Services Act
  • 2020-07-30 What are the general requirements for key individuals and representatives regarding the CPD requirements?
    Financial Advisory and Intermediary Services Act
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