2009 Compliance Report

The 2009 compliance reports were published on 17 April 2009. The reporting dates for 2009 will remain the same as the 2008 reporting year. For 2009 reporting year there will be 5 different reports as indicated in Table A below. Financial Services Providers must submit the compliance reports by the submission date.

Table A  

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 FPS 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.

ONLINE SUBMISSIONS (PREFERRED METHOD)  

From 2009 the only 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 e-mail address and the password you used in 2008. 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.   Category I FSPS that are not large institutions
faiscomp2@fsb.co.za.   Category II FSPs and Forex Authorised FSPs
faiscomp3@fsb.co.za.   Large institutional Category I FSPs as well as Category IIA FSPs
faiscomp4@fsb.co.za.   Category III and IV FSPs

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 on the relevant report to open the pdf format:

Category I FSP’s without a compliance officer need to submit Board Notice 46 of 2009

Category I FSP’s with a compliance officer need to submit Board Notice 47 of 2009.

Categories II, IIA and Forex Authorised FSP’s need to submit Board Notice 48 of 2009

Category III FSP’s need to submit Board Notice 49 of 2009

Should you experience any problems you need to obtain a copy of the report from the Government Printers at the following telephone numbers: (012) 334 4508, 334 4509 or 334 4510.

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 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 in the Government Gazette.