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Important Instructions: 

Please follow the instructions below carefully to access the relevant preparation material: 

  1. The link included below will direct you to the Legislation page. This page contains a list of all the Acts that are administered by the FSCA.
  2. Once you are on this Legislation page, please select the FAIS Act by clicking on the link The Financial Advisory and Intermediary Services Act (FAIS Act) (Act 37 of 2002).
  3. You will then see the FAIS Act, and below the FAIS Act link there will be a complete list of all the subordinate legislation to the FAIS Act that are displayed according to year of publication.
  4. Use the table below to help you identify which documents you must download that must be used as preparation material for the RE1 and/or RE5.

To access the Legislation page, please click here...

 Use the list below to identify the legislation that must be used as preparation material for the RE1: 

Financial Intelligence Centre Act, 2001 (Act 38 of 2001) (Listed on the Legislation page)
The Financial Advisory and Intermediary Services Act (FAIS Act) (Act 37 of 2002) (Listed on the Legislation page)

The following legislation is listed as subordinate legislation to the Financial Advisory and Intermediary Services Act (FAIS Act) (Act 37 of 2002)

First click on The Financial Advisory and Intermediary Services Act (FAIS Act) (Act 37 of 2002) on the legislation page, and then select the documents listed below:

2003
Code of Conduct for Administrative and Discretionary FSPs, 2003 (BN 79/2003) Note: Only the definition of Administrative and Discretionary is relevant
General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 (BN80/2003)
Rules on Proceedings of the Office of the Ombud for Financial Services Providers, 2003 (BN 81/2003)
Determination of Requirements for Reappointment of Debarred Representatives, 2003 (BN82/2003)
Determination of Procedure for Approval of Key Individuals, 2003 (Board Notice 122 of 2003)
Financial Advisory and Intermediary Services Regulations, 2003 (GN879/2003)
2009
Notice of Requirements for Professional Indemnity and Fidelity Insurance Cover for Providers, 2009 (BN 123/2009)
2010
Notice of Qualifications, Experience and Criteria for Approval of Compliance Officers, 2010 (BN127/2010)
2011
Exemption of FSPs and FSPs Limited by Products From Audit Requirements, 2011 (BN193/2011)
2017
Determination of Fit and Proper Requirements for Financial Services Providers, 2017 (BN194/2017)
2018
Determination of Fees Payable to the Registrar of Financial Services Providers, 2017 (GN89/2018)
Form of Licence – BN89/2018

 

Additional material for RE1: 

The following Notices must also be used as preparation material for the RE1.

Please click on the links below to access the documents:

2017
FAIS Notice 119 of 2017 – Exemption of Compliance Officers from section 4(4) of the Notice on Compliance Officers, 2017
2018
FSCA FAIS Notice 1 of 2018 – New Licence Application Form
FSCA FAIS Notice 17 of 2018 – Form and Manner of Section 14 Notifications
FSCA FAIS Notice 86 of 2018 – Exemption of Services Under Supervision, No 2 of 2018