Lexis® Practical Guidance: Financial Services


Practical  Guidance Financial Services provides users with updated, step-by-step guidance  and practical aids that are needed to effectively deal with the complex legal landscape of the compliance aspects pertaining  to the financial services sector. Users are supported in all aspects  dealing with financial compliance, with access to  pertinent and up-to-date legislation and various precedents. With all the need to know information and resources,  this practice area serves to guide users through both the theoretical and  practical legal aspects of corporate lending in South Africa.

  • Financial  service providers
  • Financial  Intelligence Centre Act
  • Treating  customers fairly
  • Insurance
  • Funds
  • Securities  services
  • Capital  markets
  • Derivatives
  • Retirement  funds
  • Banks
  • 13  Topics
  • More  than 85 Guidance Notes
  • 96  Forms, Precedents and Checklists
  • Up-to-date  Legislation & Case Law
  • Other  Useful Resources such as flowcharts, external websites and additional readings
  • Training  attendance register
  • Appointment  of compliance officer
  • Letter  of authorisation
  • Binder  agreement
  • Pro  forma deed for CIS in securities
  • Draft  pension fund rules
  • Example  of written complaint letter in terms of section 30A of the Pension Funds Act
  • FAIS  complaints registration form
  • National  Consumer Commission complaints form
  • Form  CoR 15.2 – Notice of Amendment of Memorandum of Incorporation