In this week’s article, we will discuss the disclosure and filing obligations of Registrants under section 51 of the Securities Act, 2012 (“SA 2012”). According to the legislation, Registrants are defined as persons registered or required to be registered under Part IV of the Act, these include entities conducting business …
In this concluding article, focused on how bias affects our financial decisions, we delve deeper into the psychological aspect of financial decision-making. Read more ——-> Beware of Bias when Making Financial Decisions Pt.2
The International Organization of Securities Commissions (IOSCO) states that there is an international consensus that money laundering, which has as a direct relationship to serious crimes, must be treated as a regulatory and enforcement priority. As such, regulators responsible for various sectors of the economy that could be abused by …
Risk-Based Supervision (RBS) identifies the critical risks encountered by a firm, as well as the systemic risks operating within the financial market. RBS assesses the firm’s management of those risks along with its financial vulnerabilities. Read more —-> Risk-Based Supervision
The sale and purchase of financial assets, such as stocks and bonds, take place in the securities market. The securities market is comprised of both the primary and secondary markets. Most investors are familiar with the operations of the secondary markets where existing securities are traded. However, firms use the …
Before investing, it is important to understand the value of a stock and whether it is worth your investment. Read more —–> Equity Valuations
With the far-reaching implications of COVID-19 as the backdrop, leaders in the areas of archives and records management were diligently working to provide guidelines upon which all agencies should manage records and information during a crisis. Read more —-> Importance of Records Management in a Crisis
Last week we explored the minimum capital requirements under Pillar 1 of Basel III. This week, we will focus on the firm-wide risk management process and the role of supervisors, under Pillar 2, to ensure that regulated entities develop and implement adequate risk management practices. Read more —> Enterprise …
The globalisation of financial institutions and the resultant change in their risk profiles, necessitated regulatory requirements for firms to maintain, at all times, adequate capital commensurate with the level of risk inherent in their business activities. Read more —> Risk-Based Capital Adequacy Regulations
This week’s article seeks to discuss some potential effects of global conflict on the local securities market. Globalisation has led to the international community becoming quite interconnected. Read more —–> Impact of Global Conflict
