The Regulation and Ethics of SA Financial Markets

This course covers:-
Regulation and the Role of Various Regulators
The Securities Services Act. 2004 (SSA)
Enforcement
Financial Advisers and Other Intermediaries
Conflicts of Interest
Corporate Governance and King III
Ethics as Contained in the Code of Conduct of SAIFM
The Registered Persons Examination (RPE) is intended to provide an introduction to the financial markets for persons wishing to become financial market practitioners and is also ideal for individuals in other spheres of life who wish to obtain background knowledge to enhance their career prospects.