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OVERVIEW

The Financial Sector Conduct Authority (FSCA) regulates and supervises the market conduct of financial institutions in South Africa.

The mandate of the FSCA is to enhance and support the efficiency and integrity of the financial system, and to protect financial customers. As stated in section 57 of the Financial Sector Regulation Act (No. 9 of 2017), this includes promoting the fair treatment of financial customers by financial institutions.
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OVERVIEW

The Executive Committee (EXCO) of the FSCA oversees the operations of the organisation. The EXCO comprises the commissioner and three deputy commissioners, all of whom are appointed by the Minister of Finance.

For optimal efficiency, agility and sustainability, the FSCA is structured into 10 divisions, each one headed by a divisional executive that reports to EXCO. Divisions are further organised into various departments and specialised units, as depicted in the organogram.
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OVERVIEW

The FSCA's Regulatory Strategy addresses:

Our regulatory and supervisory priorities for the next three years.

The intended key outcomes of the strategy, and

Our guiding principles

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OVERVIEW

The FSCA liaises with national, regional and international regulatory authorities to build collaborative efforts for the exchange of information and best practice.

Our regulatory cooperation and collaboration is enabled through various bilateral and multilateral memoranda of understanding (MoUs). Furthermore, the FSCA is a member of IOSCO, IOPS, IAIS, FSI, FATF, OECD, FSB, AFI, and Finconet.
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OVERVIEW

We seek to provide an effective and efficient procurement service to the Financial Sector Conduct Authority (FSCA) and its stakeholders through procurement best practices and optimal resource management, in compliance with the FSCA policies and relevant procurement regulatory framework.

The FSCA is committed to affirmative procurement consistent with the South African Constitution and the approved DTI Codes of Good Practice issued in terms of the BBBEE Act No. 53 of 2003.
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OVERVIEW

Our annual reports are tabled annually in September and published on our website annually in October.

We initially followed traditional annual reporting from 2018, and progressed to integrated reporting in 2023 FY.

Our predecessor's annual reports [Financial Services Board (FSB)] and previous annual publications are also available
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OVERVIEW

The FSCA has six core divisions namely: the Licensing and Business Centre, Regulatory Policy, Conduct of Business Supervision, Market Integrity, Retirement Funds Supervision, Investigations and Enforcement.

We also have specialised support departments such as, Human Resources, Financial Management, Legal, Communications and Language Service, Facilities and Security, Governance, Risk and Assurance (GRA), Supply Chain Management and Information Communications and Technology, to support the core divisions.
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OVERVIEW

This page provides mechanisms that you can use to exercise your rights in terms of Protection of Personal Information Act No 4 of 2013 (POPIA) and Promotion of Access to Information Act No 2 of 2000 (As amended) (PAIA), and to socialize any POPIA/PAIA related communication issued by the FSCA in their capacity as a responsible party.

The FSCA takes your privacy very seriously.
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OVERVIEW

The FSCA aims to ensure inclusivity and increase its reach at all times. We have a language services unit that assists with communication, interpretation, translation and publication, as outlined in the FSCA Language Policy.
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REGULATED ENTITIES
E-Services Levies and Fees Licensing and Registration List of Regulated Entities & People Supervisory Information FSCA eLearning
OVERVIEW

Licensing is a critical component in the regulatory framework and serves a key function in the supervision value chain. It provides an entry point for applicants before they are allowed to conduct business as a financial institution. It is therefore essential that licensing systems be efficient and robust.

It is important to note that the principle of proportionality applies, to ensure that there is no “one-size-fits-all” licensing approach. The approach and the requirements must be proportionate to the risks underlying the business activities of different entities.

Check if a firm is authorised

Submit an enquiry or complaint

Insurers and Microinsurers

Financial Advisory and Intermediary Services

Collective Investment Schemes and Hedge Funds

Retirement Funds

Credit Rating Agencies

Capital Markets

OVERVIEW

In order to ensure efficient and effective mechanisms for compliance and supervision, various online portals are made available to industry and regulated entities.

Insurers and Microinsurers

Financial Advisory and Intermediary Services

Collective Investment Schemes and Hedge Funds

Retirement Funds

Credit Rating Agencies

Comments Portal

OVERVIEW

The Financial Sector Conduct Authority, in terms of section 237(1)(a) of the Financial Sector Regulation Act, 2017 (Act No. 9 of 2017) and various sections under financial sector laws, hereby determines fees charged by the Financial Sector Conduct Authority, to the extent set out in the Schedule.

FSCA Levies

FSCA Fees

OVERVIEW

Summative lists are provided for all entities registered as authorised financial product providers.

Search and confirm the registration status of financial services providers.

Insurance

Financial Advisory and Intermediary Services

Collective Investment Schemes

Credit Rating Agencies

Retirement Funds

OVERVIEW

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

Insurers and Microinsurers

Financial Advisory and Intermediary Services

Collective Investment Schemes and Hedge Funds

Retirement Funds

Credit Rating Agencies

Capital Markets

Friendly Society

OVERVIEW

CPD is the ongoing learning and development that professionals undertake to maintain and improve their knowledge, skills, and competence.

The FSCA supports the industry in addressing any knowledge gaps related to the laws administered by the FSCA, consequently contributing to the skills of regulated persons.
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SUPERVISORY INFORMATION

Anti-Money Laundering and Counter Terrorism Archives Circulars Directives Documents for Consultation

Enforceable Undertakings General Publications Guidelines Industry Communication Interpretation Rulings

Legislation Notices Position and Policy Papers Regulatory Instruments Submitted to Parliament Standards
ENFORCEMENT MATTERS

Curatorships Enforcement Actions Entities under Statutory Management Financial Services Tribunal

OVERVIEW

Misconduct in the financial sector undermines consumer confidence. To maintain and support confidence and integrity in the sector, one of the FSCA's strategic objectives is to act decisively and visibly against misconduct. The FSCA's enforcement function is critical to this objective, focusing on impactful and visible enforcement.
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OVERVIEW

Curator progress reports to the Financial Sector Conduct Authority.
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OVERVIEW

The Financial Sector Regulation Act 9 of 2017 (“the FSR Act”) establishes the independent Financial Services Tribunal (“the Tribunal”) in terms of section 219 thereof. The Tribunal replaced the FSB Appeal Board and came into effect on 1 April 2018.

Upon application by aggrieved persons, the Tribunal reconsiders decisions of decision-makers as defined in terms of section 218 of the FSR Act and performs the other functions as conferred on it by the Act and specific financial sector laws.
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OVERVIEW

Statutory Manager Reports to the Financial Sector Conduct Authority.
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CONSUMERS

Complaints and Enquiries Consumer Education FSCA Three-year Rolling Financial Education Plan Information Centre Unclaimed Benefits

OVERVIEW

The FSCA is the market conduct regulator of financial institutions that provide financial products and financial services, financial institutions that are licensed in terms of a financial sector law, including banks, insurers, retirement funds and administrators, and market infrastructures.

The FSCA assists clients with legislative related complaints dealing with the manner in which the regulated companies conduct themselves and any contravention of the acts by which they are governed.
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OVERVIEW

Under section 57 of the Financial Sector Regulation Act, the FSCA is mandated to provide financial customers and potential financial customers with financial education programmes and promote financial literacy and the ability of existing and potential customers to make sound financial decisions.

We use various innovative methodologies to engage consumers and started a greater collaboration process with various stakeholders within the National Financial Consumer Education Committee, as well as Financial Institutions. Such collaboration activities significantly increased our reach during 2023/24.
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OVERVIEW

The idea for the fscamymoney website forms part of the Consumer Education Departments' Mandate to provide guidance to consumers in order to make better financial choices and to live a financially successful life.
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OVERVIEW

The primary objective of the Information Centre is to provide access to a specialised information service, specific to the needs of the Financial Services Conduct Authority through effective management of resources in a responsible, cost effective manner.
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OVERVIEW

The Registrar of Pension funds provides a central database on the FSCA website to assist members of the public to ascertain through the search engine if there are any unclaimed benefits due to them.
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NEWS

Latest News Publications & Resources Media Centre Events

OVERVIEW

Welcome to the FSCA’s news section where we share important announcements, latest news coverage and various developments of interest.

For Media-related queries: communications@fsca.co.za
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Media Releases Media Releases in other Languages Warnings and Alerts FSCA in the News

Broadcast Interviews The Insurance Apprentice TV Commercial

Reports FSCA eNewsletters Thought Leadership Speeches Webinars

Events FSCA Industry Conference
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BN 283 - Gazette 37211
BN 30 of 2014
BN125of2012_Exemption_from_Fees_Payable_to_Registrar
BN154of2012_Exemption_from_Fees_Payable_to_Registrar
BN17of2013_Exemption_from_Fees_Payable_to_Registrar
BN22of2012_Exemption_from_Fees_Payable_to_Registrar
BN59of2012_Exemption_from_Fees_Payable_to_Registrar
BN9of2013_Exemption_from_Fees_Payable_to_Registrar

BN 229 of 2013
BN 281, 282, 284, 285 - Gazette 37211
BN 31 of 2014
BN102of2010_Exemption_of_3_Particular_Persons
BN109of2012_Exemption_of_Particular_Person
BN115of2010_Exemption_of_Particular_Person
BN126of2012_Exemption_of_Particular_Person
BN139of2010_Exemption_of_Particular_Person
BN155of2012_Exemption_of_Particular_Person
BN164of2010_Exemption_of_Particular_Person
BN165of2010_Exemption_of_Particular_Person
BN166of2012_Exemption_of_Particular_Person
BN167of2012_Exemption_of_Anne_Cabot-Alletzhauser_from_the_Qualification_Requirements
BN18of2012_Exemption_of_Particular_Person
BN19of2013_Exemption_of_Particular_Person
BN57of2010_Exemption_of_Particular_Person
BN58of2012_Notice_on_Exemption_of_JM_Horsfall
BN60of2012_Exemption_of_Particular_Person
BN76of2011_Exemption_of_Particular_Person

Amendment_general_exemption_Level1_Gazette35743
Amendment_general_exemption_Level1_Gazette35997
BN120of2013_Exemptions_Level2
BN18of2013_Exemptions_particial_person_Level1
BN65of2013_Exemptions_Level1_until_finalisation
Exemption of particular persons from Qualification Requirements no.2 of 2014
Exemption_Compliance_officer_Gazette35997
Exemption_ICICI_Bank_Gazette35678
Exemption_Level1_Gazette34826
Exemption_Level1_Gazette35251
Exemption_Level1_Gazette35422
Exemption_Level1_Gazette35725
Exemption_Level1_Gazette35997
Gov Gazette 37438 14 March 2014

Bacci Trading
BN Gov Gazette 37429_11-3
Exemption of Old Mutual Gazette 37199
Exemption_of_African_Alliance_Gazette34240
Exemption_of_Goldman_Sachs_Gazette32496
Exemption_of_Merrill_Lynch_Gazette32037
Exemption_of_Morgan_Stanley_Gazette27151
Exemption_of_Morgan_Stanley_Gazette35820
Exemption_of_Neptune_Gazette33052
Exemption_of_Newman_Lowther_Gazette35820
Exemption_of_Nomura_Gazette32037
Exemption_of_Raymond_James_Gazette33868
Exemption_of_Renaissance_Gazette34240
Exemption_of_Rothchild_Gazette35459
IMA Trader 55 cc
Notice_of_Amendment_of_Exemption_Gazette31479
Notice_of_Amendment_of_Exemption_Gazette34240
Notice_of_Amendment_of_Exemption_Gazette34794
Notice_of_Amendment_of_Exemption_Gazette35743
Notice_of_Amendment_of_Exemption_Gazette36193
Original co-sourcing SA

Amendment_Notice_of_Money_Market_Exemption_Gazette27339
BN139of2012_Exemption_of_certain_FSPs
BN140of2012_Exemption_of_particular_persons
BN144of2011_Exemption_from_conflict_interest
BN163of2012_General_Exemption_from_Continuous_Professional_Development_Requirements
BN166of2011_Exemption_foreign_FSPs
BN193of2011_Exemption_from_Financial_Statement_Requirements
BN208of2012_Exemption_Private_Equity
BN565of2008_Exemption_FSP_represenatives
BN71of2004_Exemption_of_Licensees
BN97of2003_Exemption_investment_managers
Excempt_FSP_Gazette25682
Exemption_certain_office_holders_Gazette26844
Exemption_of_Banks_Gazette26844
Exemption_of_certain_insurers_Gazette26844
Exemption_Regards_to_display_of_Certified_Copies_Gazette26201
Notice_Application_for_registration_of_Private_Equity_exemption

FAIS Exemption Application

Exemptions from Fees Payable

Exemptions from Qualifications Requirements

Exemptions from Regulatory Examination Requirements

Exemptions granted to specific FSPs

Exemptions in respect of specific clients (general and specific FSPs)

General Exemptions granted to all or a group of FSPS

Important information relating to applications for exemption