Candidates wishing to write Regulatory exams are required to identify themselves by means of a VALID document, including an ID document, a driver’s license or a passport. With the backlog experienced in the […]
Some registered candidates enquired whether the regulatory exams (REs) would be affected by the recent increased measures to curb the spread of the Corona virus. Regulatory Examinations will continue within the framework of […]
Some registered candidates enquired whether the regulatory exams (REs) would be affected by the recent increased measures to curb the spread of the Corona virus. Regulatory Examinations will continue within the framework of […]
“I have registered online via your online booking system to write the Regulatory Exam. Do you need proof of payment, before my booking is secured?” Once you have registered you will receive an […]
The May edition of the FSCA FAIS Newsletter contains a summary of events since the publication of Board Notice 194 of 2017 (the “Fit and Proper” Board Notice) which came into effect on […]
30 June 2017 is the so called DOFA date for candidates who are obliged to write and pass the Regulatory Examinations (REs) within the prescribed period. A candidate’s date of first appointment (DOFA) […]
30 June 2017 is the so called DOFA date for candidates who are obliged to write and pass the Regulatory Examinations (REs) within the prescribed period. A candidate’s date of first appointment (DOFA) refers to […]
The Legislation Handbook for Level 1 Regulatory Exams provides the legislation specified as relevant to the regulatory exams RE 1 and 5. The Preparation guide includes the qualifying criteria provided by the FSB for these […]
That dreaded date is baring its fangs again. Representatives A representative’s Date of First Appointment (DOFA) determines when he or she has to successfully complete the regulatory exam for representatives RE 5. This means […]
Documents released in December 2016 reveal that the FSB intends changing no fewer than seven (7) pieces of legislation in the near future, some possibly coming into effect as early as May 2017. Those who […]
A reader recently enquired about the validity of the regulatory exams in view of all the pending new legislation. “Will my RE1 and RE5 certificates still be valid when the new Twin Peaks […]
A reader recently enquired about the validity of the regulatory exams in view of all the pending new legislation. “Will my RE1 and RE5 certificates still be valid when the new Twin Peaks […]
The new “Level 2” REs and CPD Background Almost exactly six years ago, give or take a day or five, Moonstone presented the very first Level 1 Regulatory Examinations. At that time, it was […]
Candidates are reminded that future changes to the laws and regulations governing financial services will affect the question database used for the Regulatory Exams. Once legislation is passed, changes and additions are made […]
Product knowledge requirements via the level 2 Regulatory Examinations and CPD requirements were originally introduced in Board Notice 106 of 2008. Subsequent to the effective date of these requirements, the Registrar granted general […]
We often receive queries from employers regarding the validity of RE certificates produced by prospective applicants. This is indeed wise, as we are aware of instances where people fraudulently replicate documents by means […]
We reported on the 18th of April of two new draft Board Notices which aim to clarify the regulatory exam requirements for compliance officers and COs under supervision. A compliance officer must successfully […]
