2007 Compliance Report

2007 Compliance Report

The 2007 compliance report was published on 29 August 2007 as Board Notice 90 of 2007. Financial services providers must submitted their compliance report within 2 months after the providers reporting date. Refer to Table A below for applicable reporting dates. No extension will be granted for compliance reports.

Table A

TABLE A
Column One Provider's Financial year-end	Column Two Reporting Date
31 January 2007	31 August 2007
28 February 2007	31 August 2007
31 March 2007	30 September 2007
30 April 2007	31 October 2007
31 May 2007	30 November 2007
30 June 2007	31 December 2007
31 July 2007	31 December 2007
31 August 2007	31 December 2007
30 September 2007	31 December 2007
31 October 2007	31 December 2007
30 November 2007	31 December 2007
31 December 2007	31 December 2007

The reporting period is from authorisation date or 2005 reporting date up to the reporting date stated in Column 2 above.

ELECTRONIC SUBMISSIONS (PREFERRED METHOD)

Click here to download the Compliance Software User Guide.

Financial service providers and compliance officers are encouraged to use the electronic submission method. To register for the program please click here

PLEASE NOTE that the software programme used in previous years is no longer available. It has been replaced by the online submission.

Please ensure that your e-mail address is correct on the website. Should you have any enquiries relating the submission of the report please send an e-mail to faisfins@fsb.co.za

If you are registered and require an updated list of FSPs on your compliance officer number please complete the registration information on the registration page and click on “FSP list”.

If you experience any problems with regards to you not being the compliance officer of a FSP or the year end of the FSP is incorrect, please send the enquiry to faispfc@fsb.co.za for assistance.

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 to open the report (should you experience any problems you need to obtain a copy of the report form the Government Printers).

SUBMIT THE REPORT 3 WEEKS IN ADVANCE TO ENSURE THAT YOU CAN MAKE ANY CHANGES WHERE REQUIRED.

HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed will be returned and regarded as not submitted. The same validations are used for the hardcopy and the electronic reports, so if you can not import it electronically do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit.

Schedule A compliance report to be completed for FSPs with compliance officer.

Schedule B compliance report to be completed for FSPs without a compliance officer.