In order to ensure efficient and effective mechanisms for compliance and supervision, various online portals are made available to industry and regulated entities.

FAIS Online Submissions (E-Services)

The following services are accessible to persons that register for e-services:

• New licence application
• Submission of compliance reports & financial statements & handover reports
• Extension requests for financial statements
• Query FSP detail
• Update contact details
• Profile changes
• Request representative register
• Maintain representative register
• Maintain representative import users
• Search ID for date of first appointment (DOFA)

* For more information on e-services registration, contact: 012 428 8000

The portal allows for electronic submissions

1. Submission of Statutory Reports and Returns including Capital Adequacy reports, Annual Financial Statements, Mark to market report, Quarterly Portfolio holding reports and compliance certificates/reports and Quarterly Foreign Scheme Statistics
2. Submission of advertising, marketing and information disclosure requirements for CIS
3. Applications for new CIS, amendments, amalgamations and terminations for CIS
4. Update user rights to be able to submit information on behalf of the Manager or Foreign Scheme it represents

Retirement Funds and Benefit Administrators must submit applications and responses to queries electronically on the web based FSCA Retirement Online System. The users will also be able to monitor the progress of applications on the system.

The FSCA also provides a software package to submit prescribed financial statements and quarterly non-compliance reports electronically to the Registrar.

The following E-services are available:

• FSCA Retirement On-line system
• The system is an extension of the FSCA’s workflow system for Retirement Funds. It allows registered users to submit applications, attach documents to current cases and permits the user to view basic statistics on work in progress. Strict security allows access only to relevant funds pertaining to the administrator for which a user is registered.
• FSCA Schedule System
• Annual Financial Statements submissions
• The user will capture data in the prescribed format and attached a scanned copy of the signed financial statements. The system will validate all schedules before the submission can be exported to FSCA as a password protected zip file. The information on the zipped file will be imported if the password in the zip file matches the password on the FSCA database.
• Quarterly non-compliance reports (Regulation 28)
• The user will capture data in the prescribed format and attached a scanned copy of the quarterly non-compliance report. The system will validate the schedules before the submission can be export to FSCA as a password protected zip file. The information on the zipped file will be imported if the password in the zip file matches the password on the FSCA database.