October deadline for financial sector B-BBEE compliance reports
Here is a guide to the information that must be submitted by each category of enterprise.
Compliance Reports
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
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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
Deadline for financial sector B-BBEE compliance reports
The Financial Sector Transformation Council (FSTC) has given entities operating in the financial sector until 12 August to submit their broad-based black economic empowerment (B-BBEE) compliance reports for 2020/21. Section 10(4) of the […]
FSCA update on submission of compliance and other FSP reports for 2021
The Regulator’s Communication 16 of 2021 (FAIS) provides clarity to stakeholders, FSPs, key individuals and compliance officers regarding the submission of compliance reports, handover reports and irregularity reports for 2021. Compliance Reports and […]
FSCA update on submission of compliance and other FSP reports for 2021
The Regulator’s Communication 16 of 2021 (FAIS) provides clarity to stakeholders, FSPs, key individuals and compliance officers regarding the submission of compliance reports, handover reports and irregularity reports for 2021. Compliance Reports and […]
Conduct of Business Reports
The FSB intends replacing the current FSB compliance reports with Conduct of Business Reports (COBR) and has called for industry input on the proposed document. The content and format of the proposed COBR […]
Amended 2016 Compliance Reports
Please note that the Cat II, IIA and III reports (Published during May 2016) have been amended. “Note that FAIS Notice 51 of 2016 has been repealed and replaced with FAIS Notice 84 of 2016 and FAIS Notice 52 of 2016 has been repealed and replaced with […]
Penalties for late submissions
The FSB’s FAIS Newsletter 16 was published on 13 December 2013. The second article states that a decision was taken to implement punitive measures available to the Regulator when FSPs fail to submit […]
FSB Compliance Department Annual Report
The FAIS Compliance Department’s goal is tasked with ensuring that all FSPs are held to a high degree of compliance with the FAIS Act. The Department is also committed to instil the goals […]
Submission of Compliance Reports
FSB FAIS Circular 5: Submission of Compliance Reports and Financial Statements This document contains important information about compulsory returns every FSP should take notice of. The non-submission of financial statements and compliance reports […]
