EXPLANATORY NOTES - Associated Compliance
1 . EXPLANATORY NOTES THE ROLE OF THE KEY INDIVIDUAL An FSP is usually a juristic entity, and where this is the case the business is carried on by people.
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Hold Covered Agreement or Binder? - Associated Compliance
www.associatedcompliance.co.zaHold Covered Agreement or Binder? As compliance officers we are often asked to explain the difference between a hold covered agreement and a binder agreement.
LICENCE CATEGORIES Category I
www.associatedcompliance.co.za1.7) Pension Fund Benefits Benefits provided by a pension/ provident fund, for example advice on what to do when the client retires from the fund. 1.8) Securities and Instruments: Shares Where property syndication is in the form of unlisted shares, you must register in this license category.
The Financial Advisory and Intermediary Services (FAIS) Act
www.associatedcompliance.co.zaServices (FAIS) Act 6.1 The Aim of the FAIS Legislation It is important to bear in mind, when seeing FAIS in context with other pieces of legislation, that what it really creates or aims to create is a formal system of regulating financial advisors and intermediaries. As a result of this, aggrieved consumers will be able to seek redress when they
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