This workshop will cover in detail the regulations FSPs and key individuals need to know and follow when debarring a person. We will look at case law from the courts and the Financial Services Tribunal to see where FSPs have gone wrong and highlight how labour law principles and unfair labour practices intersect with FAIS. This workshop will explore some practical exercises dealing with debarment and disciplinary procedures. Finally, we will explore the implications of COFI on debarment.
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Debarment legislation: FAIS, FSR Act, PAJA, COFI and FSCA Guidance notes
Fit and Proper requirements
Types of debarment
Debarment and labour law
Debarment policies and procedures