Financial sector conduct pertains to the behavior, actions, and practices of firms and individuals operating within the financial industry. This includes how services are marketed, sold, and delivered to clients, as well as internal governance and risk controls. Proper conduct aims to ensure fairness, transparency, and integrity in all financial dealings. It is critical for maintaining public trust and market stability.
Context
Regulators are intensifying their focus on financial sector conduct within the digital asset space to protect consumers and prevent market abuses. New guidelines are emerging to address issues such as misleading advertising, insider trading, and operational resilience for cryptocurrency platforms. This situation reflects a growing concern for investor welfare in evolving markets.
South Africa's FSCA has issued a mandatory 89-question RFI, fundamentally recalibrating compliance frameworks through granular data disclosure on risk and operations.
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