| 5/17/2019 | Section 13(1)(b)(I)
of the Financial Advisory and Intermediary Services Act, 37 of 2002
| | Administrative
penalty R10 000
| Copy of Order |
| 4/30/2019 | Rules 5(8), 5(11) and
5(12) of the Credit Rating Agency Rules
| Global Credit Rating
Co. (Pty) Limited (Global)
| Administrative Penalty R 487 000 inclusive of costs
| Copy of Order |
| 4/24/2019 | Section 3(2) of the
Credit Ratings Act, 24 of 2012
| NKC African Economics
(Pty) Ltd
| Administrative Penalty R300 000
| Copy of Order |
| 4/16/2019 | Section 65 (3) of the
Collective Investment Schemes Control Act, 45 of 2002.
| 36ONE Asset
Management (Pty) Limited
| | Copy of Order |
| 12/13/2018 | Paragraph 1(i) of schedule 1 of the CISCA (read with Section 97 of the CISCA) | Stanlib Collective Investment (RF)(Pty) Limited | R500 000 Administrative Penalty | Copy of Order |
| 10/12/2018 | Contravention of the following contraventions of the FIC Act: Section 43B(1) of the FIC Act;Section 21(1)(a) of the FIC Act; Regulation 24(4) of the Regulations promulgated in terms of GNR1595 in GG 24176 of 20 December 2002. | SATRIX MANAGERS (Pty) Limited | R60 000 Administrative Penalty | Copy of Order |
| 10/4/2018 | Section 76(1) of the Securities Services Act, No 36 of 2004 | Harmony Gold Mining Company Limited | Administrative Penalty R30 million Inclusive of costs | Copy of Order |
| 9/20/2018 | 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 |
| 8/14/2018 | Section 4(2)(a) of the Financial Markets Act, 2012 | Shepherd Bushiri Investments (Pty) Ltd | R50 000 Administrative penalty | Copy of Order |
| 4/5/2018 | | Novare Collective Investment Schemes | R30 000 Administrative Penalty | Copy of Order |
| 3/15/2018 | Section 7 (1) of the Financial Advisory and Intermediary Services Act, 37 of 2002 | Dell Computer (Pty) Limited | R100 000Administrative penalty | Copy of Order |
| 2/19/2018 | Section 106(a) of CISCA read with paragraph 5(3)(j) of Board Notice 92 of 2014 | Prime Collective Investment Schemes Management Company (RF) (PTY) LTD | Administrative Penalty R30 000 Inclusive of costs | Copy of Order |
| 12/14/2017 | Section 81 (1) of the Financial Markets Act, 19 of 2012 | Cargill RSA (Pty) Limited | R362 000Administrative Penalty | Copy of Order |
| 12/7/2017 | Section 4 (4)(a) of the Collective Investment Schemes Act, 45 of 2002. | H4 Collective Investments (RF) (Pty) Limited | Administrative PenaltyR20 000 | Copy of Order |
| 12/4/2017 | Rule 5.1 (a)(i) of the Policyholder Protection Rules (Long-Term Insurance) | Avbob Mutual Assurance Society | Administrative PenaltyR100 000 Inclusive of costs | Copy of Order |
| 10/23/2017 | 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 |
| 10/23/2017 | 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 |
| 10/20/2017 | Section 75 (prohibited trading practices) of the Securities Services Act, No. 36 of 2004 | Hanno Van Dyk | Administrative Penalty: R750 000 | Copy of Order |
| 7/11/2017 | 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 |
| 6/29/2017 | Section 7(1) of the Financial Advisory and Intermediary Services Act, 37 of 2002 | Nyadombo Tendai | Administrative Penalty:R40 000 | Copy of Order |
| 6/15/2017 | 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 |
| 6/8/2017 | 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 |
| 4/13/2017 | 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 |
| 4/10/2017 | Section 65 of the Collective Investment Schemes Act,45 of 2002 | Iza Wealth (Pty) Limited | R50 000 Administrative Penalty | Copy of Order |
| 3/27/2017 | 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 |
| 3/14/2017 | 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 |
| 3/14/2017 | 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 |
| 3/8/2017 | 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 |
| 2/17/2017 | 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 |
| 12/2/2016 | 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 |
