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Supervisory information includes:

 

  • FAIS Newsletters: All the FAIS newsletters issued to industry from 2013 to date
  • Guidance Notes: The Guidance Notes issued under the FAIS Act that are in force
  • FAIS Guides: The FAIS Guides developed for sole proprietors, which provides guidance on accessing functions on the e-services portal, and guides for developing internal policies
  • Financial statements and audit requirements: The requirements for the drawing up of and submitting financial statements and audit reports
  • Compliance reports: The links to the compliance reports for FSPs and Compliance Officers who do not submit them via the e-services portal
  • Nominee companies: Guidelines and documents relevant to nominee companies
  • Resources and documents: Presentations, information circulars and other useful information
  • Service level commitments
  • Exemption applications

 

As at 01 April 2018, the debarment process under the FAIS Act was amended by the FSR Act 9 of 2017. Thus financial services providers and representatives are advised to familiarise themselves with their compliance requirements under the amended new section 14 of the FAIS Act pending finalisation of a new guideline on debarment.

Although the debarment process has changed significantly, a substantial part of the basic process has been retained including the Notification of Debarment Form which can be downloaded:

Guidelines and documents outlining and unpacking information required for the registration and supervision of financial products, highlighting requirements.