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​2018 Compliance Reports

The following 2018 Compliance Reports were published on 28 June 2018:

  • Category I FSP with a Compliance Officer
  • Category II and IIA FSPs (Bi-Annual Report)
  • Category III FSP (Bi-Annual Report)

 

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 with a Compliance Office31 May 201815 September 2018
Category II and IIA FSPs (Bi-Annual Report)30 June 2018
31 December 2018		31 August 2018
28 February 2019
Category III FSP (Bi-Annual Report)30 June 2018
31 December 2018		31 July 2018
31 January 2019
Category IV FSP31 August 201831 October 2018
Foreign FSP31 August 201831 October 2018

 Category I FSP without a Compliance Officer

31 December 201828 February 2019
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.

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 faiscomp1@fsca.co.za

If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.

Contact the FSCA 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:

1.      Category I FSP with a compliance officer need to submit FSCA FAIS Notice 32 of 2018

2.      Category II & IIA FSPs need to submit bi-annually FSCA FAIS Notice 33 of 2018

3.      Category III FSPs need to submit bi-annually FSCA FAIS Notice 34 of 2018

4.      Category IV FSPs

5.      Foreign FSPs

6.      Category I FSP without a compliance officer

7.      FSPs substituting or removing a compliance officer

8.      FSPs who appoint a compliance officer

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 under the relevant FAIS Notice.