Secondary

2013 Compliance Reports

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.

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