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Board Notices

Board Notice according to year published not updated with amendments

  • 2017
  • 2016
  • 2015
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      Board Notice 76 of 2015.pdf
      Board Notice 76 of 2015 - Amendment Notice of the Determination of Qualifying Criteria and Qualifications for Financial Services Providers, 2015
  • 2014
  • 2013
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      Gazette 37210.pdf
      Gazette 37210 (BN 275 - 278 of 2013)
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      Gazette 37211.pdf
      Gazette 37211 (BN 279 - 286 of 2013)
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      BN268 of 2013.pdf
      Board Notice 268 of 2013 - Amendments Notice of the Determination of Qualifying Criteria and Qualifications for FSP 2013
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      BN260 of 2013.pdf
      Board Notice 260 of 2013 - Amendment of Fit and Proper Requirements and Accompanying Measures 2013
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      BN215to222of2013.pdf
      Board Notice 215 to 222 of 2013 - Government Gazette 36984
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      BN120of2013.pdf
      Board Notice 120 of 2013 - General Exemption from the Second Level Regulatory Examination Requirements, 2013
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      BN27of2013.pdf
      Board Notice 27 of 2013 - Notice on amendment of exemption
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      BN19of2013.pdf
      Board Notice 19 of 2013 - Exemption of particular person from the qualifications requirements, No 1 of 2013
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      BN18of2013.pdf
      Board Notice 18 of 2013 - Exemption of particular person from the level 1 regulatory examinations, 2013
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      BN17of2013.pdf
      Board Notice 17 of 2013 - Particular exemption from fees payable to Registrar, 2013
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      BN10of2013.pdf
      Board Notice 10 of 2013 - Exemption of Innovation Group (Pty)Ltd
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      BN9of2013.pdf
      Board Notice 9 of 2013 - Exemption of Associated Compliance (Pty)Ltd from fees payable to Registrar,2013
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      BN8of2013.pdf
      Board Notice 8 of 2013 - Amendment Exemption of ABSA Insurance and Financial Advisors
  • 2012
  • 2011
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      BN199of2011.pdf
      Board Notice 199 of 2011 - General Exemption Level 1 Regulatory Examination
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      BN193of2011.pdf
      Board Notice 193 of 2011 - Exemption of FSPs from Financial Statement Requirements
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      BN186of2011.pdf
      Board Notice 186 - Exemption of African Alliance Securities in respect of certain Clients
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      BN177of2011.pdf
      Board Notice 177 of 2011 Exemption of Old Mutual Investment Group (SA) (Pty) Ltd
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      BN176of2011.pdf
      Board Notice 176 of 2011 - Notice of Amendment of exemptions
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      BN166_2011.pdf
      Board Notice 166 of 2011 - Exemption of foreign FSPs
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      BN157of2011.pdf
      Board Notice 157 of 2011 - Exemption of Seed Investment Consultants (Pty) Ltd
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      BN156of2011.pdf
      Board Notice 156 of 2011 - Exemption of Pretorium Trust Co-Operative Limited
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      BN144of2011.pdf
      Board Notice 144 of 2011 - Exemption of FSPs and Representatives from conflict of interest provisions
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      BN79of2011.pdf
      Board Notice 79 of 2011 - Notice on Amendment of Exemptions
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      BN78of2011.pdf
      Board Notice 78 of 2011 - Exemption of Renaissance BJM Securities (PTY) LTD in respect of certain Clients
  • 2010
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      BN127Of2010Annexture.pdf
      Annexture of Board Notice 127 of 2010 - Explanatory note on Annexure 2 of Board Notice 127 of 2010
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      BN127Of2010.pdf
      Board Notice 127 of 2010 - Qualifications, Experience and criteria, for Approval as Compliance officer
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      BN126Of2010.pdf
      Board Notice 126 of 2010 - Exemption in respect of Services under supervision rendered by compliance Officers, 2010
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      BN115of2010.pdf
      Board Notice 115 of 2010 - Exemption of Frans McCabe from qualification Requirements
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      BN102of2010.pdf
      Board Notice 102 of 2010 - Exemption of Particular Persons from qualification Requirements, 2010
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      BN75of2010.pdf
      Board Notice 75 of 2010 - Levy Notice For May 2010
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      BN60of2010.pdf
      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 no
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      BN58of2010.pdf
      Board Notice 58 of 2010 - Amendment to the General Code of Conduct (Board Notice 58 of 2010)
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      BN45of2010.pdf
      Board Notice 45 of 2010 - Exemption of Duetsche Bank Limited (Mauritius) Limited
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      BN44of2010.pdf
      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 mus
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      BN43of2010.pdf
      Board Notice 43 of 2010 - Notice on Amendment of Exemptions
  • 2009
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      BN124of2009.pdf
      Board Notice 124 of 2009 - Authorised Foreign FSPs need to submit Board Notice 124 of 2009
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      BN123of2009.pdf
      Board Notice 123 of 2009 - Notice on Requirements for Professional Indemnity and Fidelity Insurance Cover For providers, 2009
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      BN100of2009.pdf
      Board Notice 100 of 2009 - Exemption of Goldman Sachs International in Respect of certain Clients
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      BN99of2009.pdf
      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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      BN98of2009.pdf
      Board Notice 98 of 2009 - Exemption of SA Nuclear Pool Administrators
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      BN96of2009.pdf
      Board Notice 96 of 2009 - Exemption of Shell International Limited and Shell Treasury Services Limited
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      BN95of2009.pdf
      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. Must be read in conjunction with BN 104 to 106 and 151 of 2008
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      BN74of2009.pdf
      Board Notice 74 of 2009 - Levies on Financial Institutions
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      BN64of2009.pdf
      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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      BN50of2009.pdf
      Board Notice 50 of 2009 - Category IV FSP’s need to submit Board Notice 50 of 2009
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      BN49of2009.pdf
      Board Notice 49 of 2009 - Category III FSP’s need to submit Board Notice 49 of 2009
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      BN48of2009.pdf
      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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      BN47of2009.pdf
      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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      BN46of2009.pdf
      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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      BN39of2009.pdf
      Board Notice 39 of 2009 - Exemption of Merrill Lynch Entities in Respect of certain Clients
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      BN38of2009.pdf
      Board Notice 38 of 2009 - Exemption of Nomura International in respect of Certain Clients
  • 2008
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      bn571of2008.pdf
      Board Notice 571 of 2008 - Hedge Fund FSP Risk Disclosures
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      bn570of2008.pdf
      Board Notice 570 of 2008 - Approval of foreign qualification: ACI Dealing Certificate
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      bn565of2008.pdf
      Board Notice 565 of 2008 - Exemption of Financial Services Providers as regards to representatives
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      BN154of2008.pdf
      Board Notice 154 of 2008 - Determination of Examination body criteria
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      BN153of2008.pdf
      Board Notice 153 of 2008 - Application of Representative bodies for recognition by the Registrar (Application for Examination bodies)
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      BN152of2008.pdf
      Board Notice 152 of 2008 - Amendment to the General Code of Conduct
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      BN151of2008.pdf
      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 conjuncti
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      BN150of2008.pdf
      Board Notice 150 of 2008 - Exemption of Anglo Operations
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      BN106of2008.pdf
      Board Notice 106 of 2008 - Determination of Fit and Proper Requirements for Financial Services providers (Board Notice 106 of 2008)
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      BN105of2008prt_5.pdf
      Board Notice 105 of 2008 - Part 5
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      BN105of2008prt_4.pdf
      Board Notice 105 of 2008 - Part 4
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      BN105of2008prt_3.pdf
      Board Notice 105 of 2008 - Part 3
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      BN105of2008prt_2.pdf
      Board Notice 105 of 2008 - Part 2
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      BN105of2008prt_1.pdf
      Board Notice 105 of 2008 - Part 1
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      BN105of2008.pdf
      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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      BN104of2008.pdf
      Board Notice 104 of 2008 - Exemption on Services under Supervision in terms of Requirements and Conditions obtaining experience
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      BN103of2008.pdf
      Board Notice 103 of 2008 - Determination of Continues Professional Development
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      BN98of2008.pdf
      Board Notice 98 of 2008 - Exemption of Renaissance Specialist Fund Managers Regarding Financial Soundness
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      BN97of2008.pdf
      Board Notice 97 of 2008 - Notice on Amendment of Exemptions
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      bn85of2008.pdf
      Board Notice 85 of 2008 - Form and Manner of External Auditor's Report (Section 19(3) of FAIS Act)
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      bn60of2008.pdf
      Board Notice 60 of 2008 - Levies on Financial Institutions
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      BN48of2008.pdf
      Board Notice 48 of 2008 - Qualifications and experience of compliance officers in respect of financial services business
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      BN47of2008.pdf
      Board Notice 47 of 2008 - Category I FSP’s with compliance officers need to submit Board Notice 47 of 2008
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      BN46of2008.pdf
      Board Notice 46 of 2008 - Category III FSP’s need to submit Board Notice 46 of 2008
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      BN45of2008.pdf
      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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      BN44of2008.pdf
      Board Notice 44 of 2008 - Category II FSP’s need to submit Board Notice 44 of 2008.
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      bn43of2008.pdf
      Board Notice 43 of 2008 - Amendment Notice on the General Code of Conduct for Authorised Financial Services Providers and representatives
  • 2007
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      bn116of2007.pdf
      Board Notice 116 of 2007 - Approval of foreign qualification: ACI Dealing Certificate (Board Notice 116 of 2007)
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      bn115of2007.pdf
      Board Notice 115 of 2007 - Suspension of Authorisation: Daizy Funeral Services CC (FSP15944) and Chat 24 CC (FSP24344)
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      bn105of2007.pdf
      Board Notice 105 of 2007 - Withdrawal of Authorisation:1344, 14263, 15078, 911, 18949, 6081,and 12145
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      bn104of2007.pdf
      Board Notice 104 of 2007 - Withdrawal of Authorisation: S'phesihle and construction
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      bn103of2007.pdf
      Board Notice 103 of 2007 - Withdrawal of Authorisation: Southern Broking Services CC 103 of 2007
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      bn90of2007.pdf
      Board Notice 90 of 2007 - Determination of Compliance Reports By Compliance Officers and Authorised FSPs, 2007
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      bn89of2007.pdf
      Board Notice 89 of 2007 - Notice on Codes of Conducts for Administrative and Discretionary FSPs Amendment Notice, 2007
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      bn88of2007.pdf
      Board Notice 88 of 2007 - Application by FSP for Authorisation by the FSB Amendment Determination, 2007
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      bn87of2007.pdf
      Board Notice 87 of 2007 - Amendment of Determination of FIT & Proper Requirements for FSPs, 2006
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      BN71of2007.pdf
      Board Notice 71 of 2007 - Levies on Financial Institutions
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      bn68of2007.pdf
      Board Notice 68 of 2007 - Amendment of Determination of FIT & Proper Requirements for FSPs, 2006 and Exemption Regarding Certain Minimum Qualifications, 2004
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      BN9of2007.pdf
      Board Notice 9 of 2007 - Exemption Relating to Foreign Based FSPs
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      bn7of2007.pdf
      Board Notice 7 of 2007 - Withdrawal of Authorisation: Chris Johan Van Tonder
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      bn6of2007.pdf
      Board Notice 6 of 2007 - Withdrawal of Authorisation: M R Dennis T/A M R Dennis and Associates
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      bn3of2007.pdf
      Board Notice 3 of 2007 - Withdrawal of Authorisation: Wilber Financiele Trust bk and Mandlakayise Masuku t/a Priority Life
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      bn2of2007.pdf
      Board Notice 2 of 2007 - Withdrawal of Authorisation: 17603, 6623, 17020, 15743, and 16913
  • 2006
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      bn91of2006.pdf
      Board Notice 91 of 2006 - Determination of FIT and Proper Requirements for FSPs, 2006
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      bn84of2006.pdf
      Board Notice 84 of 2006 - Determination of Compliance Reports by Compliance Officers and Authorised FSPs, 2006
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      bn51of2006.pdf
      Board Notice 51 of 2006 - Levies On Financial Institution
  • 2005
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      bn97of2005.pdf
      Board Notice 97 of 2005 - Exemption Of Provest Regarding Referrence of Licence In Business Documentation
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      bn95of2007.pdf
      Board Notice 95 of 2005 - Exemption of Allan Gray And Standard Bank Regarding Referrences To Licences In Business Documentation
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      bn57of2005.pdf
      Board Notice 57 of 2005 - Form and Manner of External Auditors Report
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      bn48of2005.pdf
      Board Notice 48 of 2005 - Notice on Particular Exemptions, No. 1 of 2005
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      bn44of2005.pdf
      Board Notice 44 of 2005 - Suspension of authorisation
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      bn42of2005.pdf
      Board Notice 42 of 2005 - Levies on Financial Institutions
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      bn39of2005.pdf
      Board Notice 39 of 2005 - Determinations of Compliance Reports By Compliance Officers and Authorised Financial Services Providers
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      bn30of2005.pdf
      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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      bn1of2005.pdf
      Board Notice 1 of 2005 - Levies on Financial Institutions
  • 2004
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      bn143of2004.pdf
      Board Notice 143 of 2004 - Notice On Particular Exemptions
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      bn142of2004.pdf
      Board Notice 142 of 2004 - Exemption of Morgan Stanley And AMB Holdings In Respect of Certain Clients
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      bn104of2004.pdf
      Board Notice 104 of 2004 - Exemption regarding certain minimum qualifications
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      bn103of2004.pdf
      Board Notice 103 of 2004 - Exemption of Banks in respect of certain clients
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      bn102of2004.pdf
      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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      bn101of2004.pdf
      Board Notice 101 of 2004- Amendments of Determination of Fit and Proper requirements for Financial Services Providers
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      bn100of2004.pdf
      Board Notice 100 of 2004 -Proceedings of the office of the Ombud for Financial Services Providers Amendment Rules
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      bn99of2004.pdf
      Board Notice 99 of 2004 - Exemption of Sole Proprietors and Partners from Compliance Officer Qualifications and Experience requirements, 2004
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      bn98of2004.pdf
      Board Notice 98 of 2004 - Exemption of certain Insurers from Authorisation
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      bn97of2004.pdf
      Board Notice 97 of 2004 - Exemption in respect of certain Office-Holders
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      bn96of2004.pdf
      Board Notice 96 of 2004 - Exemption of Intermediaries Gaurantee Facility
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      bn95of2004.pdf
      Board Notice 95 of 2004 - Exemption of SA Pool for Insurance of Nuclear Risks
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      bn94of2004.pdf
      Board Notice 94 of 2004 - Exemption in Respect of Certain Applicants For Authorisation
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      bn85of2004.pdf
      Board Notice 85 of 2004 - Exemption of certain Authorised Financial Services Providers from requirements pertaining to Audited Financial Statements
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      bn72of2004.pdf
      Board Notice 72 of 2004 - Notification of Recognition of Organisation as regards Qualifications of Compliance Officers
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      bn71of2004.pdf
      Board Notice 71 of 2004 - Exemption of Licensees as Regards References to Licences in Business Documentation
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      bn40of2004.pdf
      Board Notice 40 of 2004 - Exemption of licensees as regards to the display of certified copies of licences
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      bn39of2004.pdf
      Board Notice 39 of 2004 - Code of Conduct for authorised financial services providers and their representatives, involved in forex investment business
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      bn26of2004.pdf
      Board Notice 26 of 2004 - Guidance Notes on Licence Application Procedures
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      bn9of2004.pdf
      Board Notice 9 of 2004 - Form Licence
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      Determination_of_Fees.pdf
      Determination of Fees payable to the Registrar of Financial Services Providers
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      FAIS_Regulations_12March2004.pdf
      FAIS regulations - Amendment Published in Gov. Gazette 26122, 12 March 2004
  • 2003
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      bn3196of2003.pdf
      Board Notice 3196 of 2003 - Admendment of Codes of Conduct for Administrative and Discretionary FSPs
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      bn2608of2003.pdf
      Board Notice 2608 of 2003 - Notification of Representative Bodies Recognised for Performing Certain Functions
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      bn132of2003.pdf
      Board Notice 132 of 2003 - Notification of Representative Bodies Recognised for Performing Certain Functions
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      bn131of2003.pdf
      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.
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      bn95of2003.pdf
      Board Notice 95 of 2003 - Exemption of Financial Services Providers as regards to representatives
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      bn91of2003.pdf
      Board Notice 91 of 2003 - Determination of fit and proper requirements of Financial Services Providers
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      bn84of2003.pdf
      Boardf Notice 84 of 2003 - Determination of the criteria and guidelines for the approval as compliance officers
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      bn83of2003.pdf
      Board Notice 83 of 2003 - Qualifications and experience of compliance officers in respect of financial services business
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      bn82of2003.pdf
      Board Notice 82 of 2003 - Determination of requirements for reappointment of debarred representatives, 2002
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      bn81of2003.pdf
      Board Notice 81 of 2003 - Rules on Proceeding of The Office Of The OMBUD FOR Financial Services Providers
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      bn80of2003.pdf
      Board Notice 80 of 2003 - General code of conduct for authorised financial services providers and representatives
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      bn79of2003.pdf
      Board Notice 79 of 2003 - Codes of conduct for administrative and discretionary FSPs
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      bn33of2003.pdf
      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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      Determination_of_procedure_for_approval_of_key_individuals.pdf
      Determination of procedure for approval of key individuals
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      Applications_by_representatives_bodies_for_recognition.pdf
      Applications by representatives bodies for recognition by the Financial Services Board (schedule included)
  • 2002
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      specific_code_of_conduct.pdf
      Specific code of conduct for authorised financial services providers and representatives conducting short-term deposit-taking business

Government Gazette versions not updated with amendments

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