|
Date |
Contravention |
Respondents/defendants |
Outcome |
Copy of Order |
| 2018-04-05 | Section 106(a) of
CISCA | Novare Collective
Investment Schemes | R30 000 Administrative Penalty | Copy of Order |
|
2018-03-15 |
Section 7 (1) of the Financial Advisory and Intermediary Services Act, 37 of 2002 |
Dell Computer (Pty) Limited |
R100 000
Administrative penalty | Copy of Order
|
| 2018-02-19 |
Section 7 (1) of the Financial Advisory and Intermediary Services Act, 37 of 2002 | AEGIS OUTSOURCING (Pty) Limited | R250 000
Administrative Penalty | Copy of Order
|
|
2017-12-14 | Section 81 (1) of the Financial Markets Act, 19 of 2012 | Cargill RSA (Pty) Limited |
R362 000
Administrative Penalty | Copy of Order
|
| 2017-12-07 | Section 4 (4)(a) of the Collective Investment Schemes Act, 45 of 2002. | H4 Collective Investments (RF) (Pty) Limited | Administrative Penalty
R20 000 |
Copy of Order
|
| 2017-12-04 |
Rule 5.1 (a)(i) of the Policyholder Protection Rules (Long-Term Insurance) | Avbob Mutual Assurance Society | Administrative Penalty
R100 000 Inclusive of costs |
Copy of Order
|
|
2017-10-23 | Section 80 (1) (a) read with 80 (3) (a) of the Financial Markets Act, 19 of 2012 | James George Witheridge Gubb | Administrative Penalty:
R100 000 | Copy of Order
|
|
2017-10-23 | Section 7(1) of the Financial Advisory and Intermediary Services Act, 37 of 2002 |
Refinery 5 (Pty) Limited |
Administrative Penalty:
R20 000 | Copy of Order
|
| 2017-10-20 | Section 75 (prohibited trading practices) of the Securities Services Act, No. 36 of 2004 | Hanno Van Dyk | Administrative Penalty:
R750 000 | Copy of Order
|
2017-07-11 |
Section 7(1) of the Financial Advisory and Intermediary Services Act, 37 of 2002 |
Mzala & Company (Pty) Limited |
Administrative Penalty:
R20 000 | Copy of Order
|
|
2017-06-29 |
Section 7(1) of the Financial Advisory and Intermediary Services Act, 37 of 2002 |
Nyadombo Tendai |
Administrative Penalty:
R40 000 | Copy of Order
|
2017-06-15 |
Rules 16.1(C)(ii)and(iii) of the Policyholder Protection Rules (Long-Term Insurance),2004, issued in terms of Section 62 of the Long-Term Insurance Act,No.52 of 1998. | The Smart Life Insurance Company LTD | Administrative Penalty:
R150 000 |
Copy of Order
|
2017-06-08 |
Section 4 (4) (a) of the Collective Investment Schemes Act, 45 of 2002 |
MET Collective Investments (RF) (Pty) Limited | R20 000 Penalty | Copy of Order
|
|
2017-04-13 |
Section 49 of the Long-Term Insurance Act No. 52. Of 1998 & Rules 16.1(c)(iii) and (v) of the Policyholder Protection Rules, 2004, issued in terms of Section 62 of the Long-Term Insurance Act, No. 52 of 1998 | Assupol Life Limited | Administrative Penalty:
R500 000 |
Copy of Order
|
| 2017-04-10 |
Section 65 of the Collective Investment Schemes Act,45 of 2002 | Iza Wealth (Pty) Limited | R50 000 Administrative Penalty |
Copy of Order
|
|
2017-03-27 |
Rule 74(a) of the Policyholder Protection Rules (Short Term Insurance), 2004 issued under the Short-Term Insurance Act, No. 53 of 1998 | New National Assurance Company Limited | Administrative Penalty R100 000 |
Copy of Order
|
| 2017-03-14 | Section 78 (1) (a) of of the Financial Markets Act, 19 of 2012 |
Michiel Jakobus Bronn | Administrative Penalty:
R350 000 plus costs | Copy of Order
|
|
2017-03-14 | Section 7(1) of the Financial Advisory and Intermediary Services Act, 37 of 2002. ( The FAIS Act) | David Melvill |
Administrative Penalty:
R10 000 | Copy of Order
|
| 2017-03-08 | Section 80(1) (a) of the Financial Markets Act 19 of 2012 | Robert Fourie |
Administrative penalty: R2 million together with the costs of the enquiry |
Copy of Order
|
|
2017-02-17 |
Rule 16.1(c)(ii) and (iii) of the Policyholder Protection Rules (Long-term Insurance), 2004 issued in terms of section 62 of the Long-term Insurance Act, 52 of 1998 | Lombard Life Limited | Administrative penalty:
R150 000 inclusive of costs | Copy of Order
|
|
2016-12-02 | Ruless 16.1(c)(ii), (iii) and (v) of the Policyholder Protection Rules (Long-term Insurance) 2004 | African Unity Life Limited |
Administrative penalty:
R300 000 (inclusive of costs) payable within 7 days from date of order | Copy of Order
|
| 2016-10-25 | Section 80(1)(a) of the Financial Markets Act, 19 of 2002 | Johan Franck |
Administrative Penalty
R1 000 000 inclusive of costs |
Copy of Order
|
| 2016-10-25 | Section 75 of the Securities Services Act, 36 of 2004 | -
Lefika Securities Pty Ltd
- Tebogo Shakong
- Yolanda Rebecca Biokanyo
|
Administrative penalty
1.
R500 000 payable by Lefika Securities Pty Ltd;
2.
R2 million payable by Tebogo Shakong;
3.
R2 million payable by Yolanda Rebecca Biokanyo;
alll the abovementioned penalties are inclusive of costs | Copy of Order
|
| 2016-10-24 | Section 7(1) of the Short Term Insurance Act | - Pieter De Wet
-
Samantha De Wet
| Determination in the amount of:
R75 000 in respect of the first respondent;
R75 000 in respect of the second respondent and
The third respondent was found to have not contravened.
Further it is ordered that the respondents pay the costs of the action. | Copy of Order
|
| 2016-10-20 |
Section 3A of the General Code of Conduct | Regal Financial Services Pty Ltd | Administrative Penalty
R200 000 inclusive of costs |
Copy of Order
|
| 2016-10-20 | Section 3A of the General Code of Conduct | Discovery Life Limited |
Administrative Penalty
R2 500 000 |
Copy of Order
|
|
2016-09-20 | Section 13(2)(a)of the Financial Advisory and Intermediary Services Act,37 of 2002 | Bayport Financial Services 2010 (Pty) Ltd | Administrative Penalty R500 000 |
Copy of Order
|
|
2016-09-15 | Section 4(4)(a) of the Collective Investment Schemes Act, 45 of 2002 | Sanlam Collective Investments (RF) (Pty) Limited | Administrative Penalty R10 000 |
Copy of Order
|
|
2016-09-09 | Rule 15(a) and 15(b) of the Policyholder Protection Rules (Long-Term Insurance), 2004 | Lion of Africa Life Assurance Company Ltd | Administrative Penalty R200 000 |
Copy of Order
|
|
2016-08-31 |
-
Section 75(3) of the Securities Services Act, 36 of 2002
-
Section 80(3) of the Financial Markets Act, 19 of 2007
| Brian Richard Golding | Determination in the amount of: R200 000 together with costs of the enquiry, including legal fees and the fees of the investigators of the Financial Services Board |
Copy of Order
|
|
2016-08-31 | Section 78(1)(a) of the Financial Markets Act, 19 of 2012 | Vinayagam Kumarasamy Moodley | Administrative Penalty R467 388 |
Copy of Order
|
|
2016-08-17 | Section 8(2)(d) of the Short-Term Insurance Act, No.53 of 1998 | Airborne Insurance Consultants (Pty) Ltd | Administrative Penalty R150 000 |
Copy of Order
|
|
2016-06-14 | Section 80 (1) (b) of the Financial Markets Act, 19 of 2012 | Wolfgang Helmut Reinecke | Administrative Penalty R25 000 | Copy of Order
|
|
2016-05-24 | -
Section 78(1)(a) of the Financial Markets Act, 19 of 2012
-
Section 78(5) of the Financial Markets Act, 19 of 2012
| Bernard Melvin Johnson |
Administrative Penalty
R850 000 to be paid on or before 31 July 2016 |
Copy of Order
|
|
2016-05-11 | Section 7(1) of the Financial Advisory and Intermediary Services Act, 37 of 2002. ( The FAIS Act) | Joseph Marcus Doubell | Administrative Penalty
R50 000 |
Copy of Order
|
|
2016-05-09 |
Section 7(1) of the Financial Advisory and Intermediary Services Act, 37 of 2002. ( The FAIS Act) | KB Cash Loans CC & PC Brand |
Administration Penalty
R50 000 | Copy of Order
|
|
2016-04-01 |
Section 75(1) of the Securities Services Act, 36 of 2004 | Anthony van Marken | Administrative Penalty
R500 000 to be paid within 90 (ninety) days from date agreement was made an order. |
Copy of Order
|
| 2016-03-18 | -
Section 7(1) of the Long-Term Insurance Act, 52 of 1998
-
Section 8(3) of the Long-term Insurance Act, 52 of 1998
| Abangcwabi Myendeki Funeral Parlour CC |
Determination:
R2 million, further it is ordered that the respondent pay the costs of the proceedings, including of all legal fees and disbursements | Copy of Order
|
| 2016-04-13 | Section 5(1) of the Collective Investment Schemes Act, 45 of 2002 | Magnum Opus Investment Managers (Pty) Limited | Administrative Penalty
R50 000 |
Copy of Order
|
| 2016-03-04 | Section 13B (1) of the Pension Funds Act, No. 24 of 1956 |
Salt Employee Benefits (Pty) Ltd | Administrative Penalty
R20 000 |
Copy of Order
|
|
2016-01-26 |
Section 7(1) of the Short-term Insurance Act, 53 of 1998 | Defensive Legal Protection CC (in liquidation) | Administrative Penalty
R100 000, payable on or before 31 January 2016, inclusive of cost | Copy of Order
|
|
2016-01-18 | Section 65 of the Collective Investment Schemes Act, 45 of 2002 (CISCA) | Pegasus Wealth Management (Pty) Limited | Administrative Penalty R50 000, no cost order | Copy of Order
|
| 2015-11-26 | Section 80(1)(a) of the Financial Markets Act, 19 of 2012 | Friedland, Warren |
Administrative penalty
R10 000,
inclusive of costs |
Copy of Order
|
| 2015-11-26 |
Section 80(1)(b) of the Financial Markets Act, 19 of 2012 |
Cokayne, Trevor Clyde | Administrative penalty
R10 000 payable on or before 30 November 2015, inclusive of cost | Copy of Order
|
| 2015-11-05 |
Section 75 of the Securities Services Act, 36 of 2004 | -
De Beer Jacobus Frederik
Verster, Johannes Jacobus
Weetman, Mark Howard -
Pretorius, Timotheus
| Administrative Penalty
De Beer Jacobus Frederik – R10 million
Verster, Johannes Jacobus – R3 million
Weetman, Mark Howard – R1 million
Pretorius, Timotheus – R1 million
The Respondents are ordered jointly and severally, the one paying, the other to be absolved, to pay the all costs pertaining to this enquiry | Copy of Order |
|
2015-11-05 | Section 44 of the Short-term Insurance Act, 53 of 1998 | Discovery Insure Limited |
Administrative Penalty
R100 000,
no cost order | Copy of Order
|
|
2015-10-27 | -
Section 7(3) of the Financial Advisory and Intermediary Services Act, 37 of 2002; and
-
Sections 2 and 8 of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003
| Rowe Hooper Insurance and Investment Brokers CC | Administrative Penalty
R150 000,
no cost order | Copy of Order
|
|
2015-10-22 |
Section 21(1)(a) and Section 21(2)(a) of the Financial Intelligence Act, No 38 of 2001 | Thebe Stockbroking Pty Limited |
Administrative penalty
R500 000, inclusive of costs |
Copy of Order
|
| 2015-09-16 | Section 7 (1) of the Long -Term Insurance Act, No 52 of 1998 | Mpiti’s Funeral Services CC and 1 Other | Administrative Penalty
R200 000, to be paid jointly by the Respondents on or before 30 October 2015, inclusive of costs | Copy of Order |
| 2015-07-29 | Section 7 (1) of Long-Term Insurance Act, No 52 of 1998 and Section 7 (1) of the Financial Advisory and Intermediary Services Act, No 37 of 2001 | Mhlangaveza Family Assurance (Pty) Ltd and 2 Others | Administrative penalty
R200 000, payable on or before 31 August 2015, interest charged at 9% per annum calculated from date of the order until final payment | Copy of Order |
|
2015-07-22 |
Section 76 (1) (a) and (b) of the Securities Services Act, No 36 of 2004 | Grant Chittenden |
Administrative penalty
R300 000, no cost order |
Copy of Order
|
|
2015-06-24 | Rule 16.1. (c) (iii) of the Policyholders Protection Rules issued under Long – Term Insurance Act, 52 of 1998 | Clientele Life Assurance Company Limited | Administrative Penalty
R100 000, no cost order | Copy of Order
|
|
2015-06-19 | Section 6A (1) (a) of the Financial Institutions (Protection of Funds) Act, 28 of 2001 (the “Financial Institutions Act”) | Michael Thatayaone Podile |
Administrative Penalty
R1 000 000 , the Respondent is ordered to pay the cost of
the application together with interest on the amount of R1 000 000 at the prescribed rate in Terms of Section 1 (2) of the Prescribed Rate of
Interest Act, 55 of 1976 |
Copy of Order
|
| 2015-05-22 | Section 7(3) of the Financial Advisory and Intermediary Services Act, 37 of 2002 | Nestlife Assurance Corporation Ltd |
Administrative penalty
R100 000, to be paid on or before 1 June 2015 and further an amount of R21 350 plus interest at the rate of 9% per annum from date of order until final payment |
Copy of Order
|
| 2015-02-27 | Section 45 of the Short-Term Insurance Act, No 53 of 1998 (STI Act), read with Regulation 4.1(1) of the Regulations under STI Act
| Saxum Insurance Limited | Administrative penalty R200 000
|
Copy of Order
|
| 2015-02-26 | Section 7 (3) of the Financial Advisory and Intermediary Services Act, 37 of 2002 and Section 2 of the General Code of Conduct for Authorized Financial Services Providers and Representatives, 2003
|
Gous Jacobus | Administrative penalty R200 000
|
Copy of Order
|
| 2015-01-27 | Section 2 of the General Code of Conduct for Authorized Financial Services Providers and Representatives, 2003 issued in terms of section 15 of the Financial Advisory and Intermediary Services Act, 37 of 2002
| Talksure Trading (Pty) Limited | Administrative penalty R250 000
|
Copy of Order
|
| 2014-12-12 | Section 80 (1) (a) of the Financial Markets Act, No 19 of 2012
| Charles Edward Errol Forsdick | Administrative penalty R50 000
|
Copy of Order
|
| 2014-10-15 | Section 78 of the Financial Markets Act, Act 19 of 2012
| Deetlefs, David | Administrative penalty R14 152
Costs R15 000
|
Copy of Order
|
| 2014-10-08 | 1. Section 76 of the Securities Services Act, No 36 of 2004
| Blue Financial Services Limited | Administrative penalty
R500 000
|
Copy of Order
|
| 2014-10-02 | 1. Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 (“FAIS Act”); and
2. Section 2 of the General Code of Conduct for Authorised Financial Services Providers and Representatives published in Board Notice 80 of 2003 in Government Gazette 25299 of 8 August 2003 in terms of section 15 of the FAIS Act.
| Mey, Clifford | Administrative penalty
R800 000
|
Copy of Order
|
| 2014-10-02 | Section 75(1) of the Securities Services Act, No 36 of 2004
| Sweeney, David Martin | Administrative penalty
R1 000 000
|
Copy of Order
|
| 2014-09-04 | Section 73 of the Securities Services Act, No 36 of 2004
| Theba, Yaseen A | Administrative penalty
R60 000
|
Copy of Order
|
| 2014-08-05 | 1. Section 73(2)(a) of the Securities Services Act, No 36 of 2004 (SSA) in respect of Mr Zietsman
2. Section 73(1)(a) of the SSA in respect of Harrison & White
| Zietsman, Gavin Lyonel and Harrison & White Investments (Pty) Limited | Administrative penalty
R1 000 000, to be paid jointly and severally by the respondents
|
Copy of Order
|
| 2014-08-01 | Section 7(1) of the Long-Term Insurance Act, No 52 of 1998
| Molo Funeral Services CC | Administrative penalty R200 000
Costs R71 230
|
Copy of Order
|
| 2014-07-31 | 1. Section 45 of the Short-Term Insurance Act, No 53 of 1998 (STI Act), read with Regulation 4.1(1) of the Regulations under STI Act
2. Regulation 4.3(3) of the Regulations under STI Act
3. Rule 7.4(c)(iv) read with subsections (g) and (h) of the Policyholders Protection Rules.
| Saxum Insurance Limited | Administrative penalty R75 000
|
Copy of Order
|
| 2014-05-28 | Section 81 of the Financial Markets Act, No 19 of 2012
| Comair Limited | Administrative penalty R70 000
Costs R30 000
|
Copy of Order
|
| 2014-05-06 | Section 7(1) of the Long-Term Insurance Act, No 52 of 1998
| Thuso Burial Scheme CC | Administrative penalty R100 000 |
Copy of Order
|
| 2014-04-17 | Section 75 of the Securities Services Act, No 36 of 2004
| Dvoulety, Jaroslav | Administrative penalty R50 000 |
Copy of Order
|
| 2014-04-10 | Sections 43(1)(a) and 73(3) of the Collective Investment Schemes Control Act, No 45 of 2002, and Notice 910 of 210
| Indequity Investments Managers Limited | Administrative penalty R50 000
Costs R22 000
|
Copy of Order
|
| 2014-04-10 | Section 8(2)(d) of the Short-Term Insurance Act, No 53 of 1998
| Airborne Insurance Consultants (Pty) Limited | Administrative penalty R100 000 |
Copy of Order
|
| 2014-02-27 | Section 75(1) of the Securities Services Act, No 36 of 2004
| Murray, Christopher John | Administrative Penalty R750 000 |
Copy of Order
|
| 2014-01-29 | Section 3 (3) of the General Code of Conduct For Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002
| Dominium Consulting (Pty) Limited | Administrative Penalty R50 000 |
Copy of Order
|
| 2014-01-24 | Section 7(1)(a) of the Short-Term Insurance Act, No 53 of 1998
| My Lawyer Legal Assistance (Pty) Limited | Administrative Penalty R200 000 |
Copy of Order
|
| 2013-12-13 | Section 73(4) of the Securities Services Act, No 36 of 2004
| Lovell, Justin | Administrative Penalty R10 080 |
Copy of Order
|
| 2013-12-11 | Section 75(1) of the Securities Services Act, No 36 of 2004
| Reed, Douglas | Administrative Penalty R2 000 000 (inclusive of costs) |
Copy of Order
|
| 2013-12-11 | Section 75(1) of the Securities Services Act, No 36 of 2004
| Van Tonder, Jacobus Michiel | Administrative Penalty R1 000 000 |
Copy of Order
|
| 2013-12-09 | Section 65(3) of the Collective Investment Schemes Control Act, No 45 of 2002
| Andre Cillie Capital Management (Pty) Limited | Administrative Penalty R10 000
Costs R114 000 |
Copy of Order
|
| 2013-11-26 | Section 49 of the Long-Term Insurance Act, No 52 of 1998, read with Regulation 3.4 of the Regulations under the Long-Term Insurance Act.
| Channel Life Limited | Administrative Penalty R1 000 000 |
Copy of Order
|
| 2013-11-26 | Section 49 of the Long-Term Insurance Act, No 52 of 1998, read with Regulation 3.4 of the Regulations under the Long-Term Insurance Act.
| Sanlam Developing Markets Limited | Administrative Penalty R2 000 000 |
Copy of Order
|
| 2013-11-26 | Section 76 of the Securities Services Act, No 36 of 2004
| Wesizwe Platinum Limited | Administrative Penalty R65 000 |
Copy of Order
|
| 2013-09-30 | Section 8(3) of the Long-Term Insurance Act, No 52 of 1998
| Doves Group (Pty) Limited | Administrative penalty R100 000
Costs R50 000
|
Copy of Order
|
| 2013-07-22 | Section 3(3) of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Insurance Underwriting
Managers (Pty) Limited
| Administrative penalty R50 000 |
Copy of Order
|
| 2013-07-15 | 1. Section 13(2)(a) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 (“FAIS Act”); and
2. Section 12(c) of the General Code of Conduct for Authorised Financial Services Providers and Representatives published in Board Notice 80 of 2003 in Government Gazette 25299 of 8 August 2003 in terms of section 15 of the FAIS Act.
| Finstate CC | Administrative penalty R40 000
|
Copy of Order
|
| 2013-07-01 | 1. Directive 156.A.i. (ST) read with Section 4(2) of the Short Term Insurance Act, No 53 of 1998 (“STIA”);
2. Section 45 of the STIA read with Regulations 4.1(1) and 4.1.(2) for the period November 2008 until 31 March 2013;
3. Paragraph 5 of Part II of Schedule 2 of the STIA (for the period December 2008 to 27 February 2010);
4. Paragraph 4.1 of Board Notice 27 of 2010 (BN) under the STIA (for the period 28 February 2010 to 31 December 2011);
5. Paragraph 4.1 of BN 169 of 2011 under the STIA (for the period 1 January 2012 to 2 October 2012)
| Santam Limited | Administrative penalty R200 000 |
Copy of Order
|
| 2013-06-29 | Section 7(1)(a) of the Short-Term Insurance Act, No 53 of 1998 | The Lawyers Voice (Pty) Limited | Administrative penalty R600 000 |
Copy of Order
|
| 2013-05-09 | Sections 3A(1)(b)(i) and 15(1) of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Hippo Comparative Services (Pty) Limited | Administrative penalty
R1 500 000 |
Copy of Order
|
| 2013-04-23 | Contravention of sections 3A(2)(a) and 11of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 and section 8(3)(j) of the Determination of Fit and Proper Requirements for Financial Services Providers, 2008. | Martindale Securities And Investments (Pty) Ltd | Administrative penalty R20 000 |
Copy of Order
|
| 2013-03-27 | Section 26(1) of the Long-Term Insurance Act, No 52 of 1998 | PSG Asset Management Holdings (Pty) Limited | Administrative penalty R250 000 |
Copy of Order
|
| 2013-03-19 | Regulation 3(b) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | EQ.FIN (Pty) Limited | Administrative penalty R150 000 |
Copy of Order
|
| 2013-02-18 | Section 7(1)(a) of the Short-Term Insurance Act, No 53 of 1998 | Netcover (Pty) Limited | Administrative penalty R50 000 |
Copy of Order
|
| 2013-02-12 | Section 45 of the Short-Term Insurance Act, No 53 of 1998 | Unitrans Insurance Limited | Administrative penalty R200 000 |
Copy of Order
|
| 2013-02-08 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Cucamla Finansiële Dienste CC | Administrative penalty R100 000 |
Copy of Order
|
| 2013-01-22 | Section 73 of the Securities Services Act, No 36 of 2004 | Handelsman, Kevin Guy | Administrative penalty R68 460 |
Copy of Order
|
| 2013-01-07 | Section 73 of the Securities Services Act, No 36 of 2004 | Ralston, Michael Trevor | Administrative penalty R40 000 |
Copy of Order
|
| 2012-12-05 | Regulation 3(b) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Viljoen, Phillipus Christoffel and Intelinet Networking Solutions (Pty) Limited | Administrative penalty R30 000
|
Copy of Order
|
| 2012-11-13 | Sections 13(3) and 17(1)(a) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 (“FAIS Act”); and sections 2 and 11 of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the FAIS Act | Matthys Johannes Marais t/a Protea Makelaars | Administrative penalty R150 000 |
Copy of Order
|
| 2012-11-12 | Section 11 of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Moremodiegisa Financial Services and Projects CC and Setlhare, Samuel Mohale | Administrative penalty R20 000
|
Copy of Order
|
| 2012-11-12 | Section 73 of the Securities Services Act, No 36 of 2004 | Collins, Johan Klue | Administrative penalty R31 500 |
Copy of Order
|
| 2012-11-06 | 1. Sections 2; 3; 14(1)(a) and (b)(i), (ii) and (iii); and 15(2)(a) of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 (“the Code”), issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 (“FAIS Act”);
2. Section 13(2)(b) of the FAIS Act;
3. Section 21(1) of the Financial Intelligence Centre Act, No 38 of 2001. | Catsicadellis, George
Botha (now Greyvenstein), Monica | Administrative penalty R3 million
Administrative penalty R1 million |
Copy of Determination
|
| 2012-11-06 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Fedgroup Employee Benefits (Pty) Limited | Administrative penalty R10 000 |
Copy of Order
|
| 2012-10-26 | Section 5.1(a)(i) of the Policyholder Protection Rules, 2004, promulgated under section 62 of the Long-Term Insurance Act, No 52 of 1998 | Channel Life Limited | Administrative penalty R100 000 |
Copy of Order
|
| 2012-10-11 | Section 2 of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Labuschagne, Pieter | Administrative penalty R150 000 |
Copy of Order
|
| 2012-10-04 | Section 44 of the Short-Term Insurance Act, No 53 of 1998 | Discovery Insure Limited | Administrative penalty R50 000 |
Copy of Order
|
| 2012-08-31 | Section 75 of the Securities Services Act, No 36 of 2004 | Hendricks, Nazeem Mohlaba, Chuene James | Administrative penalty R5 million per respondent |
Copy of Order
|
| 2012-08-31 | Section 13B(1) of the Pension Funds Act, No 24 of 1956, read with conditions 7.2 and 7.3 as determined in Board Notice 24 of 2002 | Scientia Actuaries and Consultants (Pty) Limited | Administrative penalty R10 000 |
Copy of Order
|
| 2012-08-31 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Southern Africa Quantum Employee Benefits (Pty) Limited | Administrative penalty R100 000 |
Copy of Order
|
| 2012-07-10 | Sections 8(1)(d)(i), 8(1)(d)(ii), and 3(1)(c)(i)(bb) of the General Code of Conduct for Authorised Financial Services Providers and Representatives, prescribed in terms of section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Counterpoint Trading 328 CC t/a Policy Provider | Administrative penalty R50 000 |
Copy of Order
|
| 2012-07-10 | Sections 8(1)(d)(i), 8(1)(d)(ii), and 3(1)(c)(i)(bb) of the General Code of Conduct for Authorised Financial Services Providers and Representatives, prescribed in terms of section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Fusion Properties 268 CC t/a Broker’s Choice | Administrative penalty R50 000 |
Copy of Order
|
| 2012-06-15 | Section 7(1) of the Long-Term Insurance Act, No 52 of 1998 | Chamane, Thandeka Prudence t/a Isiphiwo Funeral Services CC | Administrative penalty R50 000 |
Copy of Order
|
| 2012-05-31 | Section 2 of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Prosperity Group (Pty) Limited | Administrative penalty R50 000 |
Copy of Order
|
| 2012-05-30 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002, and section 45 of the Long-Term Insurance Act, No 52 of 1998 | Prospercare Benefit Solutions (Pty) Limited | Administrative penalty R80 000 |
Copy of Order
|
| 2012-05-28 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Gidimag CC | Administrative penalty R10 000 |
Copy of Order
|
| 2012-05-24 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | McFarquhar, Roderick Charles | Administrative penalty R10 000 |
Copy of Order
|
| 2012-05-21 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Ness Consulting Services (Pty) Limited | Administrative penalty R100 000 |
Copy of Order
|
| 2012-05-14 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Phakane, Clement Karabo | Administrative penalty R25 000 |
Copy of Order
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| 2012-04-12 | Sections 5.1(g) and 5.3 of the Code of Conduct for Discretionary FSP’s | ABSA Asset Management (Pty) Limited. | Administrative penalty R10 000 |
Copy of Order
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| 2012-04-10 | Rules 5.1(a)(i) and 9 of the Policyholder Protection Rules, promulgated in terms of section 62 of the Long-Term Insurance Act, No 52 of 1998, and section 48 of the Long-Term Insurance Act. | Regent Life Assurance Company Limited | Administrative penalty R100 000 |
Copy of Order
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| 2012-03-29 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Capital Alliance Life Limited | Administrative penalty R100 000
|
Copy of Order
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| 2012-03-27 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | W A Davidson CC | Administrative penalty R10 000 |
Copy of Order
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| 2012-03-23 | Section 9(5)(c) of Board Notice 106 of 2008 | ABSA Investment Management Services (Pty) Limited | Administrative penalty R100 000 |
Copy of Order
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| 2012-03-22 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Lombard Life Limited | Administrative penalty R100 000
|
Copy of Order
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| 2012-03-22 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Financial Management International Limited | Administrative penalty R75 000 |
Copy of Order
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| 2012-02-21 | Section 7.(2) of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Allcover CC | Administrative penalty R10 000 |
Copy of Order
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| 2012-02-14 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | No Doubt Trading CC
| Administrative penalty R25 000 |
Copy of Order
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| 2012-02-14 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Autumn Equities CC | Administrative penalty R25 000 |
Copy of Order
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| 2012-02-10 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Verso Multi Manager (Pty) Limited | Administrative penalty R32 204 |
Copy of Order
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| 2012-02-02 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | So Where To Fashion And Projects CC | Administrative penalty R25 000 |
Copy of Order
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| 2012-01-12 | Section 75 of the Securities Services Act (market manipulation) | Moosa, Mahomed Zubeir | Administrative penalty R4 000 000 |
Copy of Order
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| 2012-01-09 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Paul Venter, Robert McLaren Behrens | Administrative penalty R100 000 |
Copy of Order
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| 2011-12-15 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Standard Bank Insurance Brokers (Pty) Limited | Administrative penalty R50 000
|
Copy of Order
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| 2011-12-06 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Old Mutual Trust Limited | Administrative penalty R27 500 |
Copy of Order
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| 2011-11-22 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 | Qmulate (Pty) Limited trading as Mianzo Asset Management | Administrative penalty R10 350 |
Copy of Order
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| 2011-11-17 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Maxim Employee Benefits (Pty) Limited | Administrative penalty R14 230 |
Copy of Order
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| 2011-10-26 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Sanlam Developing Markets Limited | Administrative penalty R100 000 |
Copy of Order
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| 2011-10-26 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Safrican Insurance Company Limited | Administrative penalty R60 000 |
Copy of Order
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| 2011-10-21 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | EMQ Training Solutions CC | Administrative penalty R25 000
|
Copy of Order
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| 2011-10-20 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Jamjam, Mrs Zimkhita | Administrative penalty R25 000 |
Copy of Order
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| 2011-10-19 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Grant Thornton Capital (Pty) Limited | Administrative penalty R23 756 |
Copy of Order
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| 2011-10-17 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | RF Administrators (Pty) Limited | Administrative penalty R22 299 |
Copy of Order
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| 2011-10-13 | Section 3(a) of the Financial Advisory Services Regulations, 2003, prescribed in terms of section 35 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Trading Point Academy (Pty) Limited | Administrative penalty R25 000 |
Copy of order
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| 2011-10-13 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | LifeSense Financial Services Administration (Pty) Limited | Administrative penalty R10 000 |
Copy of order
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| 2011-10-13 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Prescient Investment Management (Pty) Limited | Administrative penalty R19 300 |
Copy of order
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| 2011-10-13 | Section 7(1) of the Long-Term Insurance Act, 52 of 1998 | GFS Investments CC t/a Gauteng Funeral Services | Administrative penalty R50 000 |
Copy of order
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| 2011-10-03 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Vic Glassock and Associates CC | Administrative penalty R15 048 |
Copy of Order
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| 2011-09-29 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with conditions 7.2 and 7.3 as determined in Board Notice 24 of 2002 | ABSA Investment Management Services (Pty) Limited | Administrative penalty R170 720 |
Copy of order
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| 2011-09-26 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Blue Ink Institutional Investments (Pty) Limited | Administrative penalty R42 166 |
Copy of order
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| 2011-09-22 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Citadel Administration Services (Pty) Limited | Administrative penalty R30 263 |
Copy of order
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| 2011-09-22 | Section 8(1) of Board Notice 127 of 2010 issued in terms of section 17(1)(b) and (2)(a) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Intelligent Compliance and Education (Pty) Limited | Administrative penalty R50 000 |
Copy of order
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| 2011-09-19 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Southern Africa Quantum Employee Benefits (Pty) Limited | Administrative penalty R18 693 |
Copy of order
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| 2011-09-16 | Section 3A(1)(a) of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | JDDN Consulting Services (Pty) Limited t/a Discovery Consulting Services Limpopo | Administrative penalty R80 000 |
Copy of order
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| 2011-09-15 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Fin-U-Med Corporate (Pty) Limited t/a Sport Solutions | Administrative penalty R100 000 |
Copy of order
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| 2011-09-15 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with conditions 7.2 and 7.3 as determined in Board Notice 24 of 2002 | Lereko Metier Capital Growth Fund Managers (Pty) Limited | Administrative penalty R70 000 |
Copy of order
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| 2011-09-15 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Sanlam Trust Limited | Administrative penalty R36 585 |
Copy of order
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| 2011-09-13 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Hermes Asset Management (Pty) Limited | Administrative penalty R10 000 |
Copy of order
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| 2011-09-13 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Ultimate Fund Administrators (Pty) Limited | Administrative penalty R10 000 |
Copy of order
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| 2011-09-13 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 read with condition 7.3 as determined in Board Notice 24 of 2002 | Foord Asset Management (Pty) Limited | Administrative penalty R10 000 |
Copy of order
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| 2011-09-06 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 | TDF Fund Administrators (Pty) Limited | Administrative penalty R10 000 |
Copy of Order
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| 2011-09-06 | Section 2 of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, issued under section 15 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Lombard, Friedrich | Administrative penalty R50 000
|
Copy of Order
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| 2011-09-06 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 | Fussel and Associates Employee Benefits (Pty) Limited | Administrative penalty R10 000 |
Copy of Order
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| 2011-09-06 | Section 13(1)(b)(i) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Clientèle General Insurance Company Limited | Administrative penalty R100 000
|
Copy of Order
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| 2011-08-15 | Section 7(3) and 8(1)(a) of the Financial Advisory and Intermediary Services Act, No 37 of 2002, read with section 2(1) of the Determination of Fit and Proper Requirements For Financial Services Providers | PJD Financial Capital CC | Administrative penalty R50 000 |
Copy of Order
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| 2011-07-27 | Section 13B(1) of the Pension Funds Act, No 24 of 1956, read with condition 7.3 as determined in Board Notice 24 of 2002 | Aon South Africa (Pty) Ltd | Administrative penalty R300 000 |
Copy of order
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| 2011-07-27 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Collective Insurance Brokers (Pty)Ltd | Administrative penalty R20 000 |
Copy of order
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| 2011-07-27 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Smartcall Insurance Administrators (Pty) Ltd | Administrative penalty R50 000 |
Copy of order
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| 2011-07-27 | Section 75 of the Securities Services Act (market manipulation) | Fabian, Arie Paul | Administrative penalty R250 000 |
Copy of order
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| 2011-07-27 | Section 7(1) and 13(1)(b) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Gertel Algemene Handelaars cc t/a Multi Brokers | Administrative penalty R45 000
|
Copy of order
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| 2011-07-27 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Eagle Watch Financial Services Providers (Pty) Ltd | Administrative penalty R50 000 |
Copy of order
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| 2011-07-18 | Section 13B(1) of the Pension Funds Act, No 24 of 1956, read with conditions 7.2 and 7.3 as determined in Board Notice 24 of 2002 | Retirement Fund Solutions Holdings (Pty) Limited | Administrative penalty R7 500 |
Copy of Order
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| 2011-07-13 | Section 13 of the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003, read with section 3(1) of Board Notice 123 of 2009 | Premier Growth (Pty) Limited t/a The Unlimited | Administrative penalty R10 000 |
Copy of Order
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| 2011-07-07 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | African Unity Insurance Limited | Administrative penalty R100 000 |
Copy of Order
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| 2011-07-04 | Section 45 of the Short-Term Insurance Act, No 53 of 1998, read with regulations 4.1 and 4.2 of the Act | The Hollard Insurance Company Limited | Administrative penalty R70 000 |
Copy of Order
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| 2011-06-30 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Gingirikani Marketing CC t/a Ditiro Group Funeral Administrators | Administrative penalty R40 000 |
Copy of Order
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| 2011-06-30 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Nothemba Funeral and Financial Services CC t/a Nothemba Funeral Services | Administrative penalty R20 000 |
Copy of Order
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| 2011-06-30 | Section 7(3) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Nestlife Assurance Corporation Limited | Administrative penalty R100 000 |
Copy of Order
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| 2011-06-22 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 | mCubed Employee Benefits (Pty) Limited | Administrative penalty R10 000 |
Copy of Order
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| 2011-06-22 | Section 4(3)(b) and 8(1)(a) of the Short-Term Insurance Act, No 53 of 2001 | CIB Insurance Solutions (Pty) Limited | Administrative penalty R150 000 |
Copy of Order
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| 2011-05-11 | Section 7(1) of the Long-Term Insurance Act, No 52 of 1998 | Mahuhuli Funeral Services CC and Mrs M A Molai | Administrative penalty R15 000 |
Copy of Order
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| 2011-05-11 | Section 4(3)(b) of the Short-Term Insurance Act, No 53 of 2001 | African Eagle Financial Services (Pty) Limited | Administrative penalty R25 000 |
Copy of Order
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| 2011-05-11 | Section 7(1) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Siphiwo Financial and Management Consultants (Pty) Limited | Administrative penalty R10 000 |
Copy of Order
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| 2011-04-01 | Section 73 of the Securities Services Act (insider trading) and Section 76 of the Securities Services Act (false reporting) | Mr N van der Merwe
Mr J Pieterse | Administrative penalty R2 000 000 Second respondent |
Transcript of Determination (2011-04-01)
|
| Administrative penalty R1 000 000 First Respondent |
Transcript of Determination (2010-06-01)
|
| 2011-03-28 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 | Colourfield Liability Solutions (Pty) Limited | Administrative penalty R158 455
|
Copy of Order
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| 2011-03-28 | Section 13B(1) of the Pension Funds Act, No 24 of 1956 | Pan African Asset Management (Pty) Limited | Administrative penalty R30 888 |
Copy of Order
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| 2011-01-19 | Section 73 of the Securities Services Act (insider trading) | Mr G L van Niekerk | Administrative penalty R16 000 |
Copy of Order
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| 2010-09-17 | Section 7(1) of the Long-Term Insurance Act, No 52 of 1998 | Mntungwa Funeral Services CC and
Mrs S Mntungwa | Administrative penalty R50 000 on each respondent |
Copy of Order
|
| 2010-06-30 | Section 75 of the Securities Services Act (market manipulation) | Mr T Pretorius | Administrative penalty R2 000 000 |
Transcript of Determination
|
| 2010-06-01 | Section 73 of the Securities Services Act (insider trading) | Mr J Pieterse (1st Resp)
Mr N van der Merwe (2nd Resp) | Administrative penalty R1 000 000 First respondent |
Transcript of Determination
|
| 2010-03-15 | Section 73 of the Securities Services Act (insider trading) | Mr A D Cheminais
Mr M J I Brown and
Mr R McGregor | Administrative penalty R75 624 First respondent
Acquittal Second respondent
Administrative penalty R50 000 Third respondent |
Transcript of Determination
|
| 2010-01-21 | Section 7(1) read with section 13(1)(b)(i) of the Financial Advisory and Intermediary Services Act, No 37 of 2002 | Mr L C Buchner | Administrative penalty R40 000 |
Copy of Order
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| 2009-12-10 | Section 43(1)(a) of the Collective Investment Schemes Control Act, No 45 of 2002 | Community Growth Management Company Limited | Administrative penalty R20 000 |
Copy of Order
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| 2009-12-10 | Section 8(1)(b) of the Short-Term Insurance Act, No 53 of 1998 | MiWay Finance (Pty) Limited | Administrative penalty R300 000 |
Copy of Order
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| 2009-12-02 | Section 88(1) of the Collective Investment Schemes Control Act, No 45 of 2002 (the Act), read with Notice 2072 of 2003, issued in terms of section 88(1) of the Act. | NewFunds (Pty) Limited | Administrative penalty R20 000 |
Copy of Order
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| 2009-11-30 | Paragraph 3(4)(a) of notice 1503, issued in terms of section 40, 46, and 85 of the Collective Investment Schemes Control Act, No 45 of 2002 (the Act), read with notice 2072 of 2003, issued in terms of section 88(1) of the act. | Coris Capital Collective
Investment Managers Limited | Administrative penalty R10 000 |
Copy of Order
|
| 2009-10-21 | Section 73 of the Securities Services Act (Insider Trading) | Mr M Meyer | Administrative penalty
R150 000 |
Transcript of Determination
|
| 2009-09-29 | Section 76 of the Securities Services Act (false reporting) | Labat Africa Limited and Mr B G van Rooyen | Administrative penalties R25 000 per respondent |
Transcript of Determinations
|
| 2009-09-22 | Section 73 of the Securities Services Act (insider trading) | Mr G Pietersen | Administrative penalty R94 500
|
Copy of Order
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| 2009-09-22 | Section 75 of the Securities Services Act (market manipulation) and Section 76 of the Securities Services Act (false reporting) | Mr N L Hittler | Administrative penalty R1 000 000 (for section 75) R10 000 (for section 76)
|
Transcript of Determination
|
2009-07-16
2009-09-07 | Section 76 of the Securities Services Act (false reporting) | Mr M Pather
AH-Vest Limited (previously known as All Joy Foods Limited) | Administrative penalties R1,5 million per respondent |
Transcript of Determination
|
| 2009-07-16 | Section 76 of the Securities Services Act (false reporting) | Stratcorp Limited | Administrative penalty R50 000 |
Copy of Order
|
| 2009-07-16 | Section 73 of the Securities Services Act (insider trading) | Mr G D de Jager | Administrative penalty
R587 511 |
Copy of Order
|
| 2008-11-27 | Section 76 of the Securities Services Act (false reporting) | Mr D Marais and
Mr B Meyer | Administrative penalties R100 000 per respondent |
Copy of Order
|
| 2008-11-27 | Section 73 of the Securities Services Act (insider trading) | Mr C G Chelin | Administrative penalty
R94 500 |
Copy of Order
|
| 2008-11-27 | Section 75 of the Securities Services Act (market manipulation) | Mrs K Cull
| Administrative penalty
R25 000 |
Copy of Order
|
| 2008-11-27 | Section 73 of the Securities Services Act (insider trading) | Dr W J Fouché
Mr W J Fouché
Dr E Fouché and
Mr L van Luik | Administrative penalties:
R30 000 for first three respondents
and
R58 611 for fourth respondent |
Transcript of Determinations
|
| 2008-11-27 | Section 73 of the Securities Services Act (insider trading) | Assore Limited | Administrative penalty
R2,5 million |
Copy of Order
|
| 2008-11-27 | Section 75 of the Securities Services Act (market manipulation) | Mr A J van Zyl | Administrative penalty
R50 000 |
Copy of Order
|
| 2008-04-03 | Section 75 of the Securities Services Act (market manipulation) | Mr H P Olivier | Administrative penalty
R10 000 |
Copy of Order
|
| 2008-04-03 | Section 75 of the Securities Services Act (market manipulation) | Mr A Erasmus | Administrative penalty
R10 000 |
Copy of Order
|
| 2008-04-03 | Section 73 of the Securities Services Act (insider trading) | Mr B S Davies | Administrative penalty
R36 000 |
Transcript of Determination
|
| 2008-04-03 | Section 75 of the Securities Services Act (market manipulation) | Mr P F du Toit | Administrative penalty
R10 000 |
Transcript of Determination
|
| 2008-04-03 | Section 75 of the Securities Services Act (market manipulation) | Mr G D Cocolas | Administrative penalty
R750 000 |
Transcript of Determination
|
| 2007-11-01 | Section 75 of the Securities Services Act (market manipulation) | Mr Michael Berman and
Mr Neil Stacey | Administrative penalties of R2 million per respondent. Administrative penalty for first respondent reduced to R1 million on appeal |
Transcript of Determination
|
| 2006-12-20 | Section 76 of the Securities Services Act (false reporting) | Scharrig Mining Limited and
Mr Jason Holland | Administrative penalty
R750 000 |
Copy of Order
|