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The Regulation and Ethics of the South African Financial Markets

This class was created by Brainscape user Ané Venter. Visit their profile to learn more about the creator.

By: Ané Venter
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Decks in this class (9)

Chapter 1: Regulation and the role of various regulators
In south africa economic policy i...,
A regulator should do a cost bene...,
Regulation may have adverse conse...
35  cards
Chapter 2: The Financial Markets Act, 2013
What are the objects of the finan...,
Jan ndlovu has an electronic syst...,
What is the function of a central...
63  cards
Chapter 3: Credit Rating Services Act
Define a credit rating,
Describe the requirements for dir...,
List three duties of a credit rat...
9  cards
Chapter 4: Enforcement
What may the registrar do when re...,
Name the institutions that are su...,
An inspector entered the offices ...
11  cards
Chapter 5: Financial advisors and other intermediaries
A financial services provider fsp...,
An fsp wishes to advise clients o...,
An fsp wishes to advise clients o...
19  cards
Chapter 6: Conflicts of interest
John dlamini is an investment man...,
What rules with regard to soft co...,
What is the position in south afr...
10  cards
Chapter 7: Corporate governance and King III
Define corporate governance,
Name and describe the four fundam...,
Name the three principles underly...
4  cards
Chapter 8: Ethics as contained in the code of conduct if SAIFM
Mary is a trader she becomes awar...,
Peter is a stockbroker who manage...,
Describe the requirements for pro...
4  cards
Vrae
Regulatory measures intended to p...,
The twin peaks approach to regula...,
The objects of the financial mark...
18  cards

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The Regulation and Ethics of the South African Financial Markets

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