FAIS Circulars
Circular 3 of 2013
- Information Circular: Reporting of Material Irregularities by Compliance Officers / Compliance Practices
Circular 2 of 2013
- Information Circular: Level 1 Regulatory Examinations Update
Circular 1 of 2013
- Information Circular on Disclosure of Fees and other potential Conflict of Interests on Third Party Collective Investment Scheme Portfolios
Circular 13 of 2012
- Information Circular: Level 1 Regulatory Examinations Update
Circular 11 of 2012
- Information Circular: Circular on Financial Services Provides who operate Cash Management System Accounts
Circular 10 of 2012
- Information Circular: Level 1 Regulatory Examinations Update
Circular 9 of 2012
- Information Circular: Application for exemption certain persons from the level 1 regulatory examination
Circular 8 of 2012
- Information Circular: Workshops to be hosted by the FAIS Department during 2012
Circular 7 of 2012
- Information Circular: Registration for Regulatory Examinations
Circular 6 of 2012
- Information Circular: Financial Advisory and Intermediary services ACT, 2002 (“FAIS ACT”)
Circular 5 of 2012
- Information Circular: Submission of compliance reports and annual financial statements
Circular 4 of 2012
- Information Circular: Bulk client transfers and re-signing of mandates
Circular 3 of 2012
- Information Circular: Regulatory Examinations
Circular 2 of 2012
- Circular on Rollout of the RE3 examination (Key individuals category II and IIA)
Circular 1 of 2012
- Circular on Afrikaans Level 1 Regulatory Examination
Circular 12 of 2011
- Notification: Draft Board Notice on Continuous Professional Development and Draft Amendment of the Determination of FIT AND Propper Requirements for Financial Services Providers,for Comment
Circular 11 of 2011
- Circular on the exemption regarding audited financial statement requirements
Circular 10 of 2011
- Compliance officers regulatory examinations
Circular 9 of 2011
- Circular on notice of amendment of Compliance Reports for Category II, IV and Foreign FSPs published in Board Notice 165 of 2011
Circular 8 of 2011
- Circular on Late Notifications of Section 14 (1) Debarments
Circular 7 of 2011
- Information Circular: Regulatory Examinations
Circular 6 of 2011
- Circular on Submission of 2011 Compliance Reports
Circular 5 of 2011
- Circular on Regulatory Examinations: Examination Cancellation Clause
Circular 4 of 2011
- Circular on Level 1 Regulatory Examinations: Language
Circular 3 of 2011
- Circular to industry – Preparation for level 1 examinations – 17 March
Circular 2 of 2011
- Circular on Regulatory Examinations: Frequently asked questions
Circular 1 of 2011
- Circular on identifying which First Level Regulatory Examination to write
Circular 11 of 2010
- Circular on the requirement to obtain suitable guarantees, Professional Indemnity Cover and/or Fidelity Insurance as per the requirements of the Notice on Requirements for Professional Indemnity and Fidelity Insurance Cover for Providers, published in Board Notice 123 of 2009
Circular 10 of 2010
- Circular on the appointment of a Compliance Officer
Circular 9 of 2010
- Circular on Preparation for the First Level Regulatory Examinations
Circular 8 of 2010
- Circular on First Level Regulatory Examinations
Circular 7 of 2010
- Update regarding regulatory examinations 2010
Circular 6 of 2010
- Circular on overdue/Outstanding FSB Levies, Compliance reports and Financial Statements by Financial Services Providers
Circular 5 of 2010
- Circular on Long-Term Insurance Category B as Defined Board Notice 60 of 2010
Circular 4 of 2010
- Circular on Submission of 2010 Compliance Reports
Circular 3 of 2010
- Circular on the application of “living annuities” in relation to “Long-term Insurance Category C” and “Retail Pension Benefits” as defined in the FAIS Act
Circular 2 of 2010
- Circular on the Fit and Proper competency (qualifications) requirements for Sole proprietors (FSPs) and Key Individuals
Circular 1 of 2010
- Circular on section 14 of the FAIS Act relating to the debarment of representatives failing to meet the Fit and Proper competency (qualifications) requirements
Circular 4 of 2009
- Clarification of Part-Qualification Recognition and Application Process
Circular 3 of 2009
- Notification of submission of Compliance Reports for FSPs without Compliance Officers
Financial Intelligence Centre Letters to FSPs
Letters from Financial Intelligence Centre to all FSPs
