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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 (here)

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