Type of FSP
| Reporting Date
| Submission Date
|
Category I FSP without a Compliance Officer
| 31 December 2015
| 28 February 2016
|
Category I FSP with a Compliance Officer
| 31 May 2015
| 15 August 2015
|
Category II and IIA FSPs (Bi-Annual Report)
| 30 June 2015
31 December 2015
| 31 August 2015
28 February 2016
|
Category III FSP (Bi-Annual Report)
| 30 June 2015
31 December 2015
| 31 July 2015
31 January 2016
|
Category IV FSP
| 31 August 2015
| 31 October 2015
|
Foreign FSP
| 31 August 2015
| 31 October 2015
|
Compliance Officer Handover Report
|
| One month after FSP informed of resignation
|
Key Individual / Sole Proprietor Handover Report
| | One month after compliance officer appointed
|
| | | |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before please use your ID number and the password you used previously. If you are not registered for the program please
click here
Click here to download the Compliance Software User Guide.
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address
faiscomp1@fsb.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to
faiscomp1@fsb.co.za for the e-mail address to be updated.
Contact the FSB Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only click here on the relevant report to open the pdf format:
-
Category I with a compliance officer need to submit FAIS Notice 27 of 2015
-
Category II and IIA FSPs need to submit FAIS Notice 28 of 2015
-
Category III FSPs need to submit FAIS Notice 29 of 2015
-
Category IV FSPs need to submit FAIS Notice 30 of 2015
-
Foreign FSPs need to submit FAIS Notice 31 of 2015
-
Category I FSP without a compliance officer need to submit FAIS Notice 32 of 2015
-
FSPs changing compliance officers (CO handover report) need to submit FAIS Notice 33 of 2015
-
FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit FAIS Notice 34 of 2015
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date,
will be returned and regarded as
not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
