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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

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