2008 Compliance Report

The 2008 compliance reports were published on 16 May 2008. After due consideration and consultation with the Advisory Committee a decision was taken by the Registrar to amend the reporting dates of the 2008 Compliance Reports as indicated in Table A below. Financial Services Providers must submit the compliance reports by the submission date. No extension will be granted for compliance reports.

Table A  

The reporting period is from authorisation date or date of last report up to the reporting date stated in the second column above.
Guidance on 2008 submission of compliance report where compliance officer was appointed after reporting date.

In the case where an entity is authorised for more than one category, only one report needs to be submitted. The entity will need to submit the report that applies to the highest category that appears on the license. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.

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 It has been replaced by the online submission.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 (should you experience any problems you need to obtain a copy of the report from 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.  Reports send in before the end of the reporting date will also be rejected.

Category II FSP’s need to submit Board Notice 44 of 2008.

Category I FSP’s without a compliance officer need to submit Board Notice 45 of 2008.

Category III FSP’s need to submit Board Notice 46 of 2008

Category I FSP’s with compliance officers need to submit Board Notice 47 of 2008