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FAIS LEGISLATION LIST |
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FAIS
ACT 37 of 2002 |
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Year 2013 |
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Board Notice 27 of 2013 - Notice on amendment of exemption |
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Board Notice 19 of 2013 - Exemption of particular person from the qualifications requirements, No 1 of 2013 |
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Board Notice 18 of 2013 - Exemption of particular person from the level 1 regulatory examinations, 2013 |
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Board Notice 17 of 2013 - Particular exemption from fees payable to Registrar, 2013 |
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Board Notice 10 of 2013 - Exemption of Innovation Group (Pty)Ltd |
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Board Notice 9 of 2013 - Exemption of Associated Compliance (Pty)Ltd from fees payable to Registrar,2013 |
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Board Notice 8 of 2013 - Amendment Exemption of ABSA Insurance and Financial Advisors |
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Year 2012 |
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Board Notice 135 of 2012 - Amendment to the Qualifying Criteria and Qualifications – Qualification list |
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Board Notice 127 of 2012 - Amendment of Application of financial service providers for authorisation by Financial Services Board |
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Board Notice 12 of 2012 - Exemption of Aberdeen Asset Managers Limited |
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Year 2011 |
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Board Notice 199 of 2011 - General Exemption Level 1 Regulatory Examination |
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Board Notice 193 of 2011 - Exemption of FSPs from Financial Statement Requirements |
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Board Notice 186 - Exemption of African Alliance Securities in respect of certain Clients |
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Board Notice 177 of 2011 – Exemption of Old Mutual Investment Group (SA) (Pty) Ltd |
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Board Notice 176 of 2011 - Notice of Amendment of exemptions |
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Board Notice 166 of 2011 - Exemption of foreign FSPs |
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Board Notice 157 of 2011 - Exemption of Seed Investment Consultants (Pty) Ltd |
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Board Notice 156 of 2011 - Exemption of Pretorium Trust Co-Operative Limited |
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Board Notice 144 of 2011 - Exemption of FSPs and Representatives from conflict of interest provisions |
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Board Notice 79 of 2011 - Notice on Amendment of Exemptions |
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Board Notice 78 of 2011 - Exemption of Renaissance BJM Securities (PTY) LTD in respect of certain Clients |
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Year 2010 |
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Annexture of Board Notice 127 of 2010 - Explanatory note on Annexure 2 of Board Notice 127 of 2010 |
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Board Notice 127 of 2010 - Qualifications, Experience and criteria, for Approval as Compliance officer |
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Board Notice 126 of 2010 - Exemption in respect of Services under supervision rendered by compliance Officers, 2010 |
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Board Notice 115 of 2010 - Exemption of Frans McCabe from qualification Requirements |
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Board Notice 102 of 2010 - Exemption of Particular Persons from qualification Requirements, 2010 |
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Board Notice 75 of 2010 - Levy Notice For May 2010 |
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Board Notice 60 of 2010 - Amendments to the Fit and Proper Requirements, Exemptions in respect of services under supervision, Determination of Continues Professional Development and Qualifying Criteria and Qualifications (Board Notice 60 of 2010 Please note that these amendments must be read in conjunction with Board Notice 105, 151 of 2008, Board Notice 95 of 2009 and Board Notice 44 of 2010
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Board Notice 58 of 2010 - Amendment to the General Code of Conduct (Board Notice 58 of 2010) |
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Board Notice 45 of 2010 - Exemption of Duetsche Bank Limited (Mauritius) Limited |
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Board Notice 44 of 2010 - Amendments to the Qualifying Criteria and Qualifications, Determination of Continues Professional Development and Exemptions in respect of services under supervision (Board Notice 44 of 2010) Please note that these amendments must be read in conjunction with Board Notice 105, 151 of 2008 and Board Notice 95 of 2009 |
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Board Notice 43 of 2010 - Notice on Amendment of Exemptions |
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Year
2009 |
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Board
Notice 38 of 2009 - Exemption of Nomura International in respect of Certain Clients |
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Board
Notice 39 of 2009 - Exemption of Merrill Lynch Entities in Respect of certain Clients |
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Board
Notice 46 of 2009 - Category I FSP’s without a compliance officer need to submit Board Notice 46 of 2009 |
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Board
Notice 47 of 2009 -
Category I FSP’s with a compliance officer need to submit Board Notice 47 of 2009.
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Board
Notice 48 of 2009 - Categories II, IIA and Forex Authorised FSP’s need to submit Board Notice 48 of 2009
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Board
Notice 49 of 2009 - Category III FSP’s need to submit Board Notice 49 of 2009 |
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Board
Notice 50 of 2009 - Category IV FSP’s need to submit Board Notice 50 of 2009 |
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Board
Notice 64 of 2009 - Amendment Notice on the Determination of Qualification of Qualifying criteria and qualifications for Financial Services Providers,2008 |
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Board
Notice 74 of 2009 - Levies on Financial Institutions |
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Board Notice 95 of 2009 - Amendments to the Qualifying Criteria and Qualifications, Determination of Continues Professional Development and Exemptions in respect of services under supervision (Board Notice 95 of 2009)
Please note that these amendments must be read in conjunction with Board Notice 104 to 106 and 151 of 2008 |
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Board
Notice 96 of 2009 - Exemption of Shell International Limited and Shell Treasury Services Limited |
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Board
Notice 98 of 2009 - Exemption of SA Nuclear Pool Administrators |
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Board
Notice 99 of 2009 - Examption, Subject to conditions of FSP who submit Compliance Reports in the prescribed electronic format from the date prescribed for the submission of those reports. |
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Board
Notice 100 of 2009 - Exemption of Goldman Sachs International in Respect of certain Clients |
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Board
Notice 123 of 2009 - Notice on Requirements for Professional Indemnity and Fidelity Insurance Cover For providers, 2009 |
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Board
Notice 124 of 2009 - Authorised Foreign FSPs need to submit Board Notice 124 of 2009 |
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Year
2008 |
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Board
Notice 43 of 2008 - Amendment Notice on the General Code of Conduct for Authorised Financial Services Providers and representatives |
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Board
Notice 44 of 2008 - Category II FSP’s need to submit Board Notice 44 of 2008.
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Board
Notice 45 of 2008 - Category I FSP’s without a compliance officer need to submit Board Notice 45 of 2008. |
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Board
Notice 46 of 2008 - Category III FSP’s need to submit Board Notice 46 of 2008 |
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Board
Notice 47 of 2008 - Category I FSP’s with compliance officers need to submit Board Notice 47 of 2008
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Board
Notice 48 of 2008 - Qualifications and experience of compliance officers in respect of financial services business |
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Board
Notice 60 of 2008 - Levies on Financial Institutions |
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Board
Notice 85 of 2008 - Form and Manner of External Auditor's Report (Section 19(3) of FAIS Act) |
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Board
Notice 98 of 2008 - Exemption of Renaissance Specialist Fund Managers Regarding Financial Soundness |
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Board
Notice 97 of 2008 - Notice on Amendment of Exemptions |
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Board
Notice 106 of 2008 - Determination of Fit and Proper Requirements for Financial Services providers |
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Board
Notice 103 of 2008 - Determination of Continues Professional Development |
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Board
Notice 104 of 2008 - Exemption on Services under Supervision in terms of Requirements and Conditions obtaining experience |
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Board
Notice 105 of 2008 - Determination for Qualifying criteria and Qualifications (Board Notice 105 of 2008) Due to the size of the document it is split in 5 parts below |
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Board
Notice 105 of 2008 - Part 1 |
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Board
Notice 105 of 2008 - Part 2 |
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Board
Notice 105 of 2008 - Part 3 |
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Board
Notice 105 of 2008 - Part 4 |
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Board
Notice 105 of 2008 - Part 5 |
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Board Notice 106 of 2008 - Determination of Fit and Proper Requirements for Financial Services providers (Board Notice 106 of 2008)
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Board Notice 150 of 2008 - Exemption of Anglo Operations |
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Board
Notice 151 of 2008 - Amendments to the Fit and Proper Requirements, Qualifying Criteria and Qualifications and Exemptions in respect of services under supervision (Board Notice 151 of 2008)
Please note that these amendments must be read in conjunction with Board Notice 104 to 106 of 2008 |
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Board
Notice 152 of 2008 - Amendment to the General Code of Conduct |
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Board
Notice 153 of 2008 - Application of Representative bodies for recognition by the Registrar (Application for Examination bodies) |
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Board
Notice 154 of 2008 - Determination of Examination body criteria |
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Board
Notice 565 of 2008 - Exemption of Financial Services Providers as regards to representatives |
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Board
Notice 570 of 2008 - Approval of foreign qualification: ACI Dealing Certificate |
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Board
Notice 571 of 2008 - Hedge Fund FSP Risk Disclosures |
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Year
2007 |
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Board
Notice 2 of 2007 - Withdrawal of Authorisation: 17603, 6623, 17020, 15743, and 16913 |
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Board
Notice 3 of 2007 - Withdrawal of Authorisation: Wilber Financiele Trust bk and Mandlakayise Masuku t/a Priority Life |
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Board
Notice 6 of 2007 - Withdrawal of Authorisation: M R Dennis T/A M R Dennis and Associates |
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Board
Notice 7 of 2007 - Withdrawal of Authorisation: Chris Johan Van Tonder |
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Board
Notice 9 of 2007 - Exemption
Relating to Foreign Based FSPs |
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Board
Notice 67 of 2007 - Amendment of
Determination of FIT & Proper Requirements for FSPs, 2006 and
Exemption Regarding Certain Minimum Qualifications, 2004 |
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Board
Notice 71 of 2007 - Levies on Financial Institutions |
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Board
Notice 87 of 2007 - Amendment of
Determination of FIT & Proper Requirements for FSPs, 2006 |
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Board
Notice 88 of 2007 - Application
by FSP for Authorisation by the FSB Amendment Determination, 2007 |
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Board
Notice 89 of 2007 - Notice on
Codes of Conducts for Administrative and Discretionary FSPs Amendment
Notice, 2007 |
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Board
Notice 90 of 2007 - Determination
of Compliance Reports By Compliance Officers and Authorised FSPs, 2007 |
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Board
Notice 103 of 2007 - Withdrawal of Authorisation: Southern Broking Services CC 103 of 2007 |
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Board
Notice 104 of 2007 - Withdrawal of Authorisation: S'phesihle and construction |
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Board
Notice 105 of 2007 - Withdrawal of Authorisation:1344, 14263, 15078, 911, 18949, 6081,and 12145 |
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Board
Notice 115 of 2007 - Suspension
of Authorisation: Daizy Funeral Services CC (FSP15944) and Chat 24 CC
(FSP24344) |
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Board
Notice 116 of 2007 -
Approval of foreign qualification: ACI Dealing Certificate
(Board Notice 116 of 2007) |
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Year
2006 |
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Board
Notice 51 of 2006 - Levies On Financial Institution |
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Board
Notice 91 of 2006 - Determination
of FIT and Proper Requirements for FSPs, 2006 |
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Board
Notice 84 of 2006 - Determination
of Compliance Reports by Compliance Officers and Authorised FSPs, 2006 |
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Year
2005 |
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Board
Notice 1 of 2005 - Levies on Financial Institutions |
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Board
Notice 30 of 2005 - Determination of form of, and manner of confirmation
in external auditors report (section 19(3) of the FAIS Act) |
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Board
Notice 39 of 2005 - Determinations of Compliance Reports By Compliance
Officers and Authorised Financial Services Providers |
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Board
Notice 42 of 2005 - Levies on Financial Institutions |
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Board
Notice 44 of 2005 - Suspension of authorisation |
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Board
Notice 48 of 2005 - Notice on Particular Exemptions, No. 1 of 2005 |
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Board
Notice 57 of 2005 - Form and Manner of External Auditors Report |
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Board
Notice 95 of 2005 -
Exemption
of Allan Gray And Standard Bank Regarding Referrences To Licences In
Business Documentation |
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Board
Notice 97 of 2005 -
Exemption Of Provest Regarding Referrence of Licence In Business
Documentation |
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Year
2004 |
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FAIS
regulations -
Amendment Published in Gov.
Gazette 26122, 12 March 2004 |
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Determination
of Fees payable to the Registrar of Financial Services Providers |
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Board
Notice 9 of 2004 - Form Licence |
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Board
Notice 26 of 2004 - Guidance Notes on Licence Application Procedures |
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Board
Notice 39 - Code of Conduct for authorised financial services providers
and their representatives, involved in forex investment business |
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Board
Notice 40 of 2004 - Exemption of licensees as regards to the display
of certified copies of licences |
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Board
Notice 71 of 2004 - Exemption of Licensees as Regards References to
Licences in Business Documentation |
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Board
Notice 72 of 2004 - Notification of Recognition of Organisation as regards
Qualifications of Compliance Officers |
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Board
Notice 85 of 2004 - Exemption of certain Authorised Financial Services
Providers from requirements pertaining to Audited Financial Statements |
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Board
Notice 94 of 2004 - Exemption in Respect of Certain Applicants For
Authorisation |
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Board
Notice 95 of 2004 - Exemption of SA Pool for Insurance of Nuclear
Risks |
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Board
Notice 96 of 2004 - Exemption of Intermediaries Gaurantee Facility |
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Board
Notice 97 of 2004 - Exemption in respect of certain Office-Holders |
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Board
Notice 98 of 2004 - Exemption of certain Insurers from Authorisation |
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Board
Notice 99 of 2004 - Exemption of Sole Proprietors and Partners from
Compliance Officer Qualifications and Experience requirements, 2004 |
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Board
Notice 100 of 2004 -Proceedings of the office of the Ombud for Financial
Services Providers Amendment Rules |
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Board
Notice 101 of 2004- Amendments of Determination of Fit and Proper requirements for
Financial Services Providers |
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Bord
Notice 102 of 2004
- Notice of specific Code of Conduct for Authorised Financial
Services Providers and Representatives conducting Short-Term deposit
business, 2004 |
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Board
Notice 103 of 2004 - Exemption of Banks in respect of certain clients |
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Board
Notice 104 of 2004 - Exemption regarding certain minimum
qualifications |
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Board
Notice 142 of 2004 - Exemption of Morgan Stanley And AMB Holdings In
Respect of Certain Clients |
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Board
Notice 143 of 2004 - Notice On Particular Exemptions |
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Year
2003 |
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Applications
by representatives bodies for recognition by the Financial Services Board
(schedule included) |
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Determination
of procedure for approval of key individuals |
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Board
Notice 33 of 2003 - Determination of functions to be performed by
recognised representative bodies, as published in Gov. Gazette No. 24794,
2 May 2003 |
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Board
Notice 79 of 2003 - Codes of conduct for administrative and discretionary
FSPs
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Board
Notice 80 of 2003 - General code of conduct for authorised financial
services providers and representatives
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Board
Notice 81 of 2003 - Rules on Proceeding of The Office Of The OMBUD FOR
Financial Services Providers |
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Board
Notice 82 of 2003 - Determination of requirements for reappointment of debarred representatives, 2002
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Board
Notice 83 of 2003 - Qualifications
and experience of compliance officers in respect of financial services
business
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Boardf
Notice 84 of 2003 - Determination of the criteria and guidelines for the approval
as compliance officers
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Board
Notice 91 of 2003 - Determination of fit and proper requirements of Financial
Services Providers
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Board
Notice 95 of 2003 - Exemption of Financial Services Providers as
regards to representatives |
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Board
Notice 131 of 2003 - Exemption of authorised financial services
providers and representatives conducting short-term deposit business from
certain fit and proper requirements and the general code when rendering
financial services relating to money market funds |
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Board
Notice 132 of 2003 - Notification of Representative Bodies Recognised
for Performing Certain Functions |
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Board
Notice 2608 of 2003 - Notification of Representative Bodies Recognised
for Performing Certain Functions |
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Board
Notice 3196 of 2003 - Admendment of Codes of Conduct for Administrative and
Discretionary FSPs |
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Year
2002 |
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Specific
code of conduct for authorised financial services providers and
representatives conducting short-term deposit-taking business
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