Financial Advisory and Intermediary Services Manual
2004
Juta Legal and Academic Publishers (Verlag)
9780702165740 (ISBN)
Juta Legal and Academic Publishers (Verlag)
9780702165740 (ISBN)
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This work provides a guide to the Financial Advisory and Intermediary Services Act (Act No. 37 of 2002) which regulates the business of rendering financial services of an advisory and/or intermediary nature.
This work provides a guide to the Financial Advisory and Intermediary Services Act (Act No. 37 of 2002) which regulates the business of rendering financial services of an advisory and/or intermediary nature in respect of a large range of financial products. The Act requires such providers to be licensed with a registrar, namely the executive officer of the Financial Services Board. Through codes of conduct and enforcement measures the Act controls professional dealings with clients. This publication contains all published texts of the Act, and measures promulgated thereunder, and includes explanatory commentaries thereon. Such measures include a large number of exemptions already granted by the registrar. The author has been involved with this legislation and has first-hand knowledge of its objectives and detail provisions. The first revision service introduces newly-published measures including new exemptions and an all-important first notice by the Financial Services Board on levies payable by financial services providers. It also includes important new published replacements of texts and amendments to a number of subordinate legislative measures.
New comments on the important FAIS expression of "intermediary service" are included, following decisions made thereon in the Office of the Registrar of Financial Services Providers. Structural improvements are introduced such as a new user-friendly Index to Part III. The text of the Manual has been thoroughly revised and updated, and otherwise upgraded in many respects to promote accuracy, readability and comprehension.
This work provides a guide to the Financial Advisory and Intermediary Services Act (Act No. 37 of 2002) which regulates the business of rendering financial services of an advisory and/or intermediary nature in respect of a large range of financial products. The Act requires such providers to be licensed with a registrar, namely the executive officer of the Financial Services Board. Through codes of conduct and enforcement measures the Act controls professional dealings with clients. This publication contains all published texts of the Act, and measures promulgated thereunder, and includes explanatory commentaries thereon. Such measures include a large number of exemptions already granted by the registrar. The author has been involved with this legislation and has first-hand knowledge of its objectives and detail provisions. The first revision service introduces newly-published measures including new exemptions and an all-important first notice by the Financial Services Board on levies payable by financial services providers. It also includes important new published replacements of texts and amendments to a number of subordinate legislative measures.
New comments on the important FAIS expression of "intermediary service" are included, following decisions made thereon in the Office of the Registrar of Financial Services Providers. Structural improvements are introduced such as a new user-friendly Index to Part III. The text of the Manual has been thoroughly revised and updated, and otherwise upgraded in many respects to promote accuracy, readability and comprehension.
Fit and proper requirements for licensees; license application forms; codes of conduct; regulations; particulars as regards compliance officers and their reports; particulars on proceedings before the Ombud of Financial Services Providers; fees and levies payable to the Financial Services Board
| Erscheint lt. Verlag | 31.12.2004 |
|---|---|
| Verlagsort | Kenwyn |
| Sprache | englisch |
| Themenwelt | Recht / Steuern ► EU / Internationales Recht |
| Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht | |
| Wirtschaft ► Volkswirtschaftslehre ► Finanzwissenschaft | |
| ISBN-13 | 9780702165740 / 9780702165740 |
| Zustand | Neuware |
| Informationen gemäß Produktsicherheitsverordnung (GPSR) | |
| Haben Sie eine Frage zum Produkt? |
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