Search

Home > Courses > FAIS
Courses

The Financial Advisory and Intermediary Services Act

 

The Financial Advisory and Intermediary Services Act is intended to protect consumers as well as financial service providers.

However, the Act is not easy to read and the details may be difficult to grasp for those not used to working with legal documents. This course will unpack the terminology of the Act, the requirements and obligations, updates to the legislation, and the Act’s relationship to related legislation.

Join us for a two-hour webinar in which we will explore the FAIS Act in context.

When?

12 April 2021 (10:00 to 12:00)

Course outline

The following topics will be covered:

  • Introduction to FAIS, financial products and licence categories
  • Definition of “advice”
  • Definition of “intermediary service”
  • Introduction to the key individual, representative and compliance officer positions
  • Fit and proper requirements
  • Updates from BN 194 of 2017
  • FAIS Specific Obligations
  • FAIS General Obligations
  • Conflict of Interest
  • Review of latest RDR proposals
  • FAIS under twin peaks legislation
  • Repeal of FAIS and similar provisions under COFI
  • Cryptoassets as a financial product

Who will benefit from this course?

Key individuals and representatives, attorneys, accountants, financial advisers, financial managers, and anyone else interested in the financial services industry.

Presenter

Kerry Kopke is a director of Attune Solutions (Pty) Ltd, which provides legal consulting and training services, specialising in the financial services and investment funds industry. Kerry has a BBusSci (cum laude), LLB (cum laude) and a MCom (Financial Management with distinction in the thesis), all from the University of Cape Town. She has over twelve years of experience in the legal industry, having worked for prestigious law firms in New York, South Africa and Dublin. Kerry has also worked in-house for Sanlam Investments as the legal advisor for the hedge fund business and was an integral part of their hedge fund registration process in South Africa. Kerry's work with Attune Solutions sees her working with a broad range of clients such as law firms and different role players (asset managers, administrators, Mancos and prime brokers) across the financial services industry.

How much?

R695 per person

CPD points

This course has been accredited by the FPI with 2 CPD points.

If you require CPD points, please state this when sending in your registration form. You will be asked to send in a copy of your ID for verification purposes before the course, and will need to complete an evaluation after the course.

 

How to sign up

Complete and submit the registration form. You will then be given the payment information. Please note that registrations will not be accepted until payment has been made.

One or two days before the webinar, we will send you the Zoom link. You will need to register and use a password to enter the webinar.

Registrations close three days before the webinar.

View the advert here.