SEMINAR / /
Compliance and Financial Due Diligence for Attorneys Regarding Investment of Client Funds
Understanding the risks of exposure for an attorney in the investment environment
Cities and dates (Time: 9:00 – 16:00)
Durban: 30 June 2016 / Cape Town: 1 July 2016 / Bloemfontein: 4 July 2016
East London: 7 July 2016 / Midrand: 8 July 2016
About the seminar
  1. The legislative framework within which Attorneys and Financial Services Providers (FSP) work. There will be an in-depth discussion of the relevant legislation, regulations and Board notices.
  2. Comprehensive treatment of the FAIS Act and what attorneys need to know. This module will deal with licensing, “financial advice” and “intermediary services” as defined in the FAIS act.
  3. Comprehensive treatment of the General Code of Conduct for FSPs; when and how are attorneys expected to comply.
  4. Attorneys will understand what services can be rendered without having to comply with the FAIS act. What is meant by “regular feature of business” for an attorney and how this is affected by the FAIS act?
  5. When is an attorney rendering “financial” services or advice and when is he rendering “intermediary services” as contemplated in the FAIS act?
  6. Due diligence to be carried out by an attorney in respect of:
-Recommending an investment;
-Recommending a particular financial product;
-Recommending a FSP;
-Making an assessment of a financial product;
-What documents and essential information an attorney is expected to look for.
  1. What to do when acting for a client who is an FSP;
  2. How to assist a client who wants to market a financial product and what documentation is required, including regulatory compliance;
  3. How to deal with certain products such as property syndication; forex trading and venture capital.
  4. How to administer the trust account in respect of syndication investments;
  5. The role of an attorney in drafting prospectuses and statutory disclosure documents;
  6. Advising clients in disputes involving financial services and products. The function of the FAIS Ombud and how attorneys refer matters for resolution, and the role of attorneys in the office of the Ombud.

Who should attend?
All attorneys but especially those with an interest in financial services;corporate lawyers; financial services providers.
Expert presenter
Ismail Hussain SC,former Judge of the High court and Competition Appeal Court. He has worked within the Financial Services Industry for the past 15 years and is considered an expert in financial regulation and compliance. The presenter is experienced in dispute resolution in financial services.
Registration queries: e-mail Annelie Dagnin on , tel +27 (0)12 441 4669

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LSSA LEAD SEMINAR 2016 Page 1 of 3

SEMINAR / /
Registration form| Compliance and Financial Due Diligence for Attorneys Regarding Investment of Client Funds
INSTRUCTIONS ON HOW TO COMPLETE THE FORM
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Save and email the form to together with proof of payment.
Fee per delegate for seminar (VAT Inclusive)
Category / Standard fee
Practising attorneys / R 1 350
Candidate attorneys / support staff / R 1 220
Delegates from law firms located further than 150 km from the closest venue / R 980
Non-practising attorneys / Others / R 2 700
When and where in 2016 (Time: 9:00 – 16:00)
Durban: 30 June 2016 / Cape Town: 1 July 2016 / Bloemfontein: 4 July 2016
East London: 7 July 2016 / Midrand: 8 July 2016
Your details
Surname: / First name:
ID number: / Gender: F M / Your position:
Firm/company: / City/Town: / Title:
Tel-w: () / Fax: () / Race (for noting)
Cell: / Email:
Postal address or docex: / Postal code:
Payment by electronic funds transfer (EFT)
Account Name: Law Society of South Africa | Bank: FNB Pretoria
Account: 6200 9641 079 | Branch Code: 251445 | Reference: Cell / Surname / Amount: R
Special Dietary Requirements (if any):
Halal Kosher Vegetarian / If disabled, nature of disability:
Notes on LEAD Seminars and Workshops
1.Seminar registration will be confirmed only if proof of payment is attached to the form.
2.Fees must be paid into the designated LSSA bank account. The LSSA will not accept liability if any other bank account is used.
3.LEAD makes use of reputable venues. The venue for this event will be determined by the number of registrations.Please wait for the confirmation before you make flight and accommodation bookings.
4.Registrations close 48 hours prior to the seminar date. No registrations will be accepted thereafter.
5.To cancel a seminar registration, e-mail at least 48 hours before the seminar starts to avoid being liable for the full fee.
Registrations: e-mail Annelie Dagnin on or phone her on +27 (0)12 441 4669
Seminar queries: e-mail or phone on +27 (012) 441-4613 / 4690 / 4644