Investigations and Enforcement under the FSR Act in SA

2 CPD

R202.00

This Course examines the historical need for a more robust investigations and enforcement framework, while providing an in-depth analysis of the sections pertaining to investigations and enforcement under the FSR Act.

Description

Focus Area

  • Demonstrate understanding of the need for the more robust investigations and enforcement framework under the FSR Act.
  • Demonstrate understanding of the regulator’s powers pertaining to information gathering, onsite inspections and investigations
  • Demonstrate understanding of the regulator’s powers concerning guidance notices, interpretation rulings, directives and enforceable undertakings
  • Demonstrate understanding of court orders, debarment proceedings, leniency agreements and administrative penalties under the FSR Act.
  • Demonstrate understanding of the implications of the inspections and enforcements provisions for financial advisors and financial institutions.

Who should register?

Financial advisors

CPD information

2

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