Regulatory Exams for Compliance Officers: RE 40
This exam was announced some time ago, with timelines on the FSB website given as follows: Trials would be run in October and November 2011 January 2012 would see the exams, drawn up […]
Regulatory-Exams
Videos
Watch: FPI Financial Planner of the Year on key issues shaping the financial landscape
Animated video explains the two-pot retirement system
NCA Credit providers’ FICA obligations
NCR Desktop Audits
Is South Africa on track to getting off the grey list?
Looking back at this year’s FPI Professional’s Convention
Enhance your HR skills by attending our insightful webinars in November
Webinars on how to investigate misconduct and address poor performance
Reps who Fail to pass RE 5 by 30 September
We received a number of enquiries from readers following Monday’s article which touched on interim measures one can take when candidates do not pass the regulatory exams by the end of September. Q: […]
Regulatory Exams and National Qualification Levels
I always pity the poor people who enter this “industry of abbreviations”, and have to try and decipher what language it is that we speak. Hopefully the discussion below of an often asked […]
New Spot for RE Roundup
From Thursday onwards, we will move this section of the newsletter to a new slot. We strive to keep our articles fresh and newsworthy, and we would hate to be seen to underestimate […]
Latest Statistics Encouraging
Earlier this week, there was a discussion on the regulatory exams on Radio Sonder Grense where a broker André, from Cape Town, said that, as far as he knows, the pass rate is […]
No News, Bad News?
Successful candidates eagerly await information about the next phase of the REs. There is general consensus that those who embraced the learning culture, created by the introduction of the regulatory exams, want to […]
RE Re-write Advice
A training service provider shares some tips for those who need to write and pass before the end of September. As candidates are scrambling to the deadline of 30 September, it appears that […]
RE Perception shift
The biggest part of my working day is spent in discussions with candidates on the topic of the regulatory exams. Most of the conversations and correspondence originated where candidates were trying to establish […]
Tick-Tock Says the Clock
Candidates who qualified to re-write, need to keep an eye on the calendar. There is less time left than they think. There are basically ten weeks before the end of September. Actually, eight, […]
RE Status Certification
Last week, we discussed the need for proof of your regulatory exam status. Let’s follow the instructions from “The sound of music” and start at the very beginning. As soon as your paper […]
Applications for Exemption
The publication of Board Notice 116 of 2012 contains details of exemptions granted to 16 FSPs from having to write the Level 1 REs by 30 June 2012. The periods of grace allowed […]
Removing Reps from the Register: a Better Option?
A lot has been said about what should be done where representatives did not write the obligatory Level 1 regulatory examination by 30 June, and are therefore no longer fit and proper to […]
Level 2 REs and Qualifications
The article in last week’s Moonstone Monitor on training related matters elicited quite a response from people who require assistance with planning their future training obligations. We mentioned in the article that Board […]
Proof of RE Status
A reader wrote as follows: Please clarify the issue of RE Level 1 certificates. When I wrote my RE5 and RE1, I was notified by email and a certificate was attached. I am […]
Extension of Deadline…
Gogga maak (amper) vir Baba Bly Die Reguleerder het Vrydagmiddag, skuins voor 15h00, ’n media vrystelling uitgestuur met die opskrif: “Deadline for Regulatory Examinations”. Die eerste wat ek hiervan te hore gekom het, […]
RE 4 now available
I received news yesterday that the level 1 regulatory exams for Category III Key Individuals (RE 4) is now available. Please click here to access the exam schedules to register for this exam. […]
When all else fails…
I am, like most males, definitely guilty of thinking that I can achieve anything without directions. The availability of the GPS makes my life a lot less embarrassing, especially when I have to […]
