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Why compliance counts

Why compliance counts

Our regulatory environment has necessitated that each business unit has to re-evaluate how they do business and in particular how their supporters do business as part of their risk management. Not only must each representative of a Financial Services Provider satisfy the “fit and proper requirements”, they also have to conduct their business adhering to the FAIS Act, its regulations, the General Code of Conduct as Board Notices...

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Amendments to regulations

Amendments to regulations

On the 15th of December 2017, substantial amendments to the regulations were published.  These amendments are effective as of 1 January 2018. Below is a quick summary of what you need to know. How does this affect you? If you have not entered into a binder agreement with one or more Insurer, then the answer is “not too much” as the amendments to the regulations mostly affect binder arrangements and the insurer’s obligations when entering into...

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