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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 RE3:

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)
General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 (BN80/2003)
Financial Advisory and Intermediary Services Regulations, 2003 (GN879/2003)
2007
Requirements Imposed by the Financial Services Board for Nominees to Operate in South Africa (BN63/2007)
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)