The 2011 compliance reports were published on 16 May 2011. For the 2011 reporting year there are 10 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
| Category I FSP without a Compliance Officer | 31 December 2011 | 28 February 2012 |
| Category I FSP with a Compliance Officer | 31 May 2011 | 15 August 2011 |
| Category II FSP | 31 August 2011 | 30 November 2011 |
| Category IIA FSP (Annual Report) | 31 May 2011 | 30 June 2011 |
| Category IIA FSP (Interim Report) | 31 August 2011
30 November 2011
28 February 2012 | 31 September 2011
31 January 2012
30 March 2012 |
| Category III FSP (Bi-Annual Report) | 30 June 2011
31 December 2011 | 31 July 2011
31 January 2012 |
| Category IV FSP | 31 August 2011 | 30 November 2011 |
| Foreign FSP | 31 August 2011 | 30 November 2011 |
| Compliance Officer Handover Report | | One month after FSP informed of resignation |
| Key Individual / Sole Proprietor Handover Report | | One month after compliance officer appointed |
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 previously. 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:
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.
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to the applicable Faiscomp e-mail address (see above) for the e-mail address to be updated.
Contact the FSB Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only click here on the relevant report to open the pdf format:
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.
NOTE: 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.
