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The 2010 compliance reports were published on 31 May 2009. For 2010 reporting year there will be 10 different reports as indicated in Table A below. Financial Services Providers must submit the compliance reports by the submission date.

Table A

Type of FSP Reporting Date Submission Date
Category I FSP without Compliance Officer 31 December 2010 28 February 2011
Category I FSP with Compliance Officer 31 May 2010 15 August 2010
Category II and Forex Authorised FSPs 31 August 2010 31 October 2010
Category IIA FSP(Annual) 31 May 2010 30 June 2010
Interim compliance report for Category IIA FSPs 31 August 2010
30 November 2010
28 February 2011
30 September 2010
31 December 2010
30 March 2011
Category III FSPs (Annual) 30 June 2010 31 July 2010
Category III FSPs (Interim report) 31 December 201031 January 2011
Category IV FSPs 31 August 2010 31 October 2010
Foreign FSPs 31 August 2010 31 October 2010
Handover report One month after the FSP was informed of resignation

The reporting period is calculated from �authorisation date� or �the date of the last report� up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report. Category IIA and III will have to submit Interim reports this year.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.


The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method. If you have registered before please use your ID number and the password you used in 2009. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide.
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address: Category I FSPS that are not large institutions Category II FSPs and Forex Authorised FSPs Large institutional Category I FSPs as well as Category IIA FSPs Category III and IV FSPs

If you are registered and require an updated list of FSPs on your compliance officer number please complete the registration information on the registration page and click on "FSP list".
If you experience any problems with regards to you not being the compliance officer of a FSP or the year end of the FSP is incorrect, please send the enquiry to for assistance.
Contact the FSB Call Centre on 0800 110 443 for further assistance.


A copy of the report is available in .pdf format only click here on the relevant report to open the pdf format:
Category I without a compliance officer need to submit Board Notice 76 of 2010
Category I with a compliance officer need to submit Board Notice 77of 2010.
Category IIA FSPs need to submit Board Notice 78 of 2010
Interim Category IIA need to submit Board Notice 79 of 2010
Category II and forex FSPs need to submit Board Notice 80 of 2010
Category III FSPs need to submit Board Notice 81 of 2010
Interim Category III FSPs need to submit Board Notice 82 of 2010
Category IV FSPs need to submit Board Notice 83 of 2010
Foreign FSPs need to submit Board Notice 84 of 2010
FSPs changing compliance officers (handover report) need to submit Board Notice 85 of 2010

Should you experience any problems you need to obtain a copy of the report from the Government Printers at the following telephone numbers: (012) 334 4508, 334 4509 or 334 4510.

Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.

The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed in the Government Gazette.