Archive | Regulatory-Exams

Registration Blues

Preparing for, and writing the regulatory exams, is enough of a challenge for the majority of candidates. You do not want to be burdened by concerns about administrative glitches, or misunderstandings when you finally make your fearful way to the exam centre. Unfortunately, this happens. We provide some guidelines below to help you take this […]

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Stop telling me about the RE's!

A subscriber expressed his irritation with the weekly articles on the regulatory exams. “Please can you refrain from sending me info on the FSB EXAMS. I AM FULLY AWARE that the exams need to be written and Moonstone MAKES MONEY AND THEREFORE PROMOTES them. The promotion emails never stop and I complained to my compliance […]

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Letters from readers

In today’s article we share three pieces of correspondence. E-mail 1: This mail, dated 15 December, was sent to the FSB: People are talking about a test that has to be done by the key person before September 2012. We do not know anything about it. Is it true, and where do we get the […]

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Study Material for the RE's

It appears that a lot of questions we receive every day are based on hearsay, speculation or inappropriate reference to available resources. At the risk of sounding like a recording, we have to stress that you cannot prepare correctly, or properly, unless you know what you will be tested on. The 8 Qualifying Criteria(QC) for […]

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Why are Level 1 questions not Industry specific?

A number of candidates complained that the Level 1 REs contain questions not related to their sector of the industry. It is common knowledge that the Level 2 REs will be product specific. I discussed this with our question development team. The basis for setting any question is the qualifying criteria, and the applicable legislation. […]

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Exams around the corner

Compliance report workshop for category I FSPs without a compliance officer. Compliance Reports for these FSPs cover the period 1 January 2011 until 31 December 2011 and need to be submitted ELECTRONICALLY to the FSB before 28 FEBRUARY 2012. The workshop will be a telematics broadcast to various centres around the country, so there should […]

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