Further Legislative Developments

• No further legislative developments have been gazetted since publication of this book

Related Material

• Determination of functions to be performed by recognised representative bodies, BN 33 of 2003
• Rules on Proceedings of the Office of the Ombud for FSPs, BN 81 of 2003
• Determination of Requirements for Reappointment of Debarred Representatives, BN 82 of 2003
• Exemption of Investment Managers from Fit and Proper Requirements, 1 of 2003, BN 97 of 2003
• Determination of Procedure for Approval of Key Individuals, BN 122 of 2003
• Determination of date in terms of s. 7(1) of the Act, GN 270 of 2004
• Guidance Notes on Licence Application Procedures (the FAIS Act), BN 26 of 2004
• Exemption of Licensees as regards Display of Certified Copies of Licences, BN 40 of 2004
• Exemption of Licensees as regards References to Licences in Business Documentation, BN 71 of 2004
• Exemption in respect of certain Applicants for Authorisation, BN 94 of 2004
• Exemption of the Intermediaries Guarantee Facility, BN 96 of 2004
• Exemption in respect of Certain Office-holders, BN 97 of 2004
• Exemption of Certain Insurers from Authorisation, BN 98 of 2004
• Exemption of Sole Proprietors and Partners from Compliance Officer Qualifications and Experience Requirements, BN 99 of 2004
• Exemption of Banks in respect of Certain Clients, BN 103 of 2004
• Form and manner of External Auditor's Report (s. 19(3) of FAIS Act), BN 57 of 2005
• Requirements imposed by the FSB for nominees to operate in SA, BN 63 of 2007
• Determination of Form of External Auditor's Report (s. 19(3) of the Act), BN 85 of 2008
• Determination of Continuous Professional Development Requirements, BN 103 of 2008
• Applications by representative bodies for recognition by the FSB, BN 153 of 2008
• Determination of Examination Body Criteria, BN 154 of 2008
• Approval of a Foreign Qualification, BN 570 of 2008
• Notice on Hedge Fund FSP Disclosures, BN 571 of 2008
• Application by FSPs for authorisation by the FSB, BN 60 of 2009
• Notice on Exemption of FSPs who submit compliance reports in the prescribed electronic format from the date prescribed for the submission of the reports, BN 99 of 2009
• Exemption of Banks, BN 172 of 2009
• Exemption of Certain FSPs and Representatives from Qualification Requirements, BN 173 of 2009
• Exemption in respect of Services under Supervision rendered by Compliance Officers, BN 126 of 2010
• Exemption of FSPs and Representatives from Conflict of Interest Provisions, BN 144 of 2011
• Exemption of Foreign FSPs, BN 166 of 2011
• Exemption of FSPs and FSPs limited by products from Audit Requirements, BN 193 of 2011
• Exemption of Certain FSPs from the Professional Indemnity and Fidelity Insurance Cover Requirements, BN 139 of 2012
• Exemption of Particular Persons from section 7(1) of the Act, BN 140 of 2012
• General Exemption from Continuous Professional Development Requirements, BN 163 of 2012
• Exemption of Compliance Officers from the Regulatory Examination, BN 207 of 2012
• Exemption of Certain Persons conducting Financial Services related business with a Private Equity Fund, BN 208 of 2012
• Exemption of Burial Societies and Stokvels, BN 43 of 2013
• Exemption from Level 1 Regulatory Examination until finalisation of Application for Exemption, BN 65 of 2013
• Compliance Report for Category I FSPs without a Compliance Officer, BN 105 of 2013
• Compliance Report for Category I FSPs with a Compliance Officer, BN 106 of 2013
• Bi-Annual Compliance Report for Categories II and IIA FSPs, BN 107 of 2013
• Bi-Annual Compliance Report for Category III FSPs, BN 108 of 2013
• Compliance Report for Category IV FSPs, BN 109 of 2013
• Compliance Report for Foreign FSPs, BN 110 of 2013
• Compliance Report for an FSP substituting its Compliance Officer during reporting period, BN 111 of 2013
• Determination of Compliance Report for a FSP who has appointed a Compliance Officer during the reporting period, BN 112 of 2013
• General Exemption: Level 1 Regulatory Examination, BN 119 of 2013
• General Exemption from the Second Level Regulatory Examination Requirements, BN 120 of 2013
• Determination of Fees payable to the Registrar of FSPs, GN 89 of 2018
• Notice on the Form of Licence, BN 89 of 2018
• Declaration of a crypto asset as a financial product under the FAIS Act, GenN 1350 of 2022

Proposed Future Developments

• Draft Conduct of Financial Institutions Bill, 2018

Contact: myjutapockets@juta.co.za