| 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 2010 | 31 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 |
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| | 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. |
ONLINE SUBMISSIONS (PREFERRED METHOD)| 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: | | faiscomp1@fsb.co.za Category I FSPS that are not large institutions | | faiscomp2@fsb.co.za Category II FSPs and Forex Authorised FSPs | | faiscomp3@fsb.co.za Large institutional Category I FSPs as well as Category IIA FSPs | | faiscomp4@fsb.co.za Category III and IV FSPs |
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| 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 faispfc@fsb.co.za for assistance. |
| Contact the FSB Call Centre on 0800 110 443 for further assistance. |
HARDCOPY SUBMISSIONS
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.
SUBMIT THE REPORT 3 WEEKS IN ADVANCE TO ENSURE THAT YOU CAN MAKE ANY CHANGES WHERE REQUIRED.
HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
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.
