The information below was copied from FAIS Circular 5.
The Compliance Reports for 2013 were published on 29 May 2013 in the Government Gazette as the following Board Notices:
105 of 2013 Category I without a Compliance Officer
- 106 of 2013 Category I with a Compliance Officer
- 107 of 2013 Category II & IIA bi-annual report
- 108 of 2013 Category III bi-annual report
- 109 of 2013 Category IV FSPs
- 110 of 2013 Foreign FSPs
- 111 of 2013 FSPs changing or removing Compliance Officers (CO Handover report)
- 112 of 2013 FSPs without a Compliance Officer who have appointed a Compliance Officer (KI / Sole Proprietor Handover report)
The reporting dates for the 2013 Compliance Reports are as follows:
|Type of FSP||Reporting date||Submission date|
|Category I with a Compliance Officer||31 May 2013||15 August 2013|
|Category I without a Compliance Officer||31 December 2013||28 February 2014|
|Category II & IIA bi-annual report||30 June 2013 31 December 2013||31 August 2013 28 February 2014|
|Category III bi-annual report||30 June 2013 31 December 2013||31 July 2013 31 January 2014|
|Category IV FSPs||31 August 2013||31 October 2013|
|Foreign FSPs||31 August 2013||31 October 2013|
|CO Handover report||n/a||1 month after CO resignation|
|KI Handover report||n/a||1 month after FSP appointed CO|
Moonstone Compliance clients can leave the detail to their compliance officers. Moonstone Protector clients will receive an invitation to our annual workshop nearer the time.
Please click here to download FAIS Circular 5.