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The 2014 compliance reports were published on 29 May 2014. For the 2014 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 201428 February 2015
Category I FSP with a Compliance Officer31 May 201415 August 2014
Category II and IIA FSPs (Bi-Annual Report)30 June 2014
31 December 2014
31 August 2014
28 February 2015
Category III FSP (Bi-Annual Report)30 June 2014
31 December 2014
31 July 2014
31 January 2015
Category IV FSP31 August 201431 October 2014
Foreign FSP31 August 201431 October 2014
Compliance Officer Handover ReportOne month after FSP informed of resignation
Key Individual / Sole Proprietor Handover ReportOne 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

If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to 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:

  1. Category I without a compliance officer need to submit FAIS Notice 33 of 2014
  2. Category I with a compliance officer need to submit FAIS Notice 28 of 2014
  3. Category II and IIA FSPs need to submit FAIS Notice 29 of 2014
  4. Category III FSPs need to submit FAIS Notice 30 of 2014
  5. Category IV FSPs need to submit FAIS Notice 31 of 2014
  6. Foreign FSPs need to submit FAIS Notice 32 of 2014
  7. FSPs changing compliance officers (CO handover report) need to submit FAIS Notice 34 of 2014
  8. FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit FAIS Notice 35 of 2014


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 under the relevant FAIS Notice.