DISCIPLINARY COMMITTEES OF INQUIRY

Decisions of the Disciplinary Committee

  • Respondent found guilty or not guilty;
  • If guilty – reprimand/fine to a maximum of R25 000 per contravention;
  • A compensatory award of up to 80% of the fine imposed may be awarded to a claimant who suffered pecuniary loss;
  • Withdrawal of a Fidelity Fund Certificate.
  • Summonses and subpoenas are sent to relevant parties to appear;
  • Chairperson and two committee members conduct the proceedings;
  • Case presenter/prosecutor present the cases;
  • Proceedings are mainly inquisitorial;
  • Legal representation is permitted.



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