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2017 Compliance Reports

 

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The 2017 compliance reports were published on 04 May 2017. For the 2017 reporting year there are 8 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
Type of FSP
Reporting Date
Submission Date
Category I FSP without a Compliance Officer
31 December 2017
28 February 2018
Category I FSP with a Compliance Officer
31 May 2017
15 August 2017
Category II and IIA FSPs (Bi-Annual Report)
30 June 2017
31 December 2017
31 August 2017
28 February 2018
Category III FSP (Bi-Annual Report)
30 June 2017
31 December 2017
31 July 2017
31 January 2018
Category IV FSP
31 August 2017
31 October 2017
Foreign FSP
31 August 2017
31 October 2017
Compliance Officer Handover Report
One month after FSP informed of resignation
Key Individual / Sole Proprietor Handover Report
One month after compliance officer appointed
 
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 FSP 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)

The 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 ID number and the password you used previously. If you are not registered for the program please click here
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
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsb.co.za for the e-mail address to be updated.
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:
  1. Category I FSP without a compliance officer need to submit FAIS Notice 51 of 2017
  2. Category I FSP with a compliance officer need to submit FAIS Notice 52 of 2017
  3. Category II & IIA FSPs need to submit bi-annually FAIS Notice 53 of 2017
  4. Category III FSPs need to submit bi-annually FAIS Notice 54 of 2017
  5. Category IV FSPs need to submit FAIS Notice 55 of 2017
  6. Foreign FSPs need to submit FAIS Notice 56 of 2017
  7. FSPs substituting or removing a compliance officer need to submit FAIS Notice 57 of 2017
  8. FSPs who appoint a compliance officer need to submit FAIS Notice 58 of 2017
NOTE: 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 under the relevant FAIS Notice.
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