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The 2012 compliance reports were published on 25 May 2012. For the 2012 reporting year there are 8 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 FSPReporting DateSubmission Date
Category I FSP without a Compliance Officer31 December 201228 February 2013
Category I FSP with a Compliance Officer31 May 201215 August 2012
Category II and IIA FSPs (Bi-Annual Report)30 June 2012
31 December 2012
31 August 2012
28 February 2013
Category III FSP (Bi-Annual Report)30 June 2012
31 December 2012
31 July 2012
31 January 2013
Category IV FSP31 August 201231 October 2012
Foreign FSP31 August 201231 October 2012
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.

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 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: I FSPs II FSPs IIA FSPs 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.

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.


A copy of the report is available in .pdf format only click here on the relevant report to open the pdf format:


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.