financial sector Articles
Current Articles
Tag: rule of law

Clear Tag


Sort Date Author Title

Illegitimate FSB directive revoked

 13 Nov 17
Until very recently, financial intermediaries and advisers (financial-service providers, FSPs) wishing to reappoint representatives who had been debarred from the industry,…

FAIS: Debarring representatives violates the Rule of Law

 14 Jun 17
The provision of the Financial Advisory and Intermediary Services Act of 2002 (“FAIS”) that vests in employers the power and obligation to banish (“debar”) financial-services representatives from the entire industry, has the effect of discriminating…