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Moonstone Communicator Resources

Moonstone Communicator – Resources

  • Resources contain downloadable files regarding FSB communications categorised according to type – it includes Board Notices, Guidance Notes and relevant Regulatory Communications regarding FAIS and FIC among others.
  • Navigation: Select the category name or the + to the right of each category listed below to see the files.
  • Please note the Disclaimer at the bottom of this page

FAIS Board Notices General


NameModifiedSize
2003 BN 122 Procedure approval of KI.pdf 2015-10-01 13:20:24 151.62 Kb
2003 BN 79 COC for Administrative and Discretionary FSPs.pdf 2015-10-01 13:20:26 103.5 Kb
2003 BN 80 General Code of Conduct.pdf 2015-10-01 13:20:29 125.66 Kb
2003 BN 81 Rules on Ombud Proceedings.pdf 2015-10-01 13:20:39 461.23 Kb
2003 BN 82 Reappointment of Debarred Reps.pdf 2015-10-01 13:20:40 114.84 Kb
2003 BN 84 Guidelines CO Approval.pdf 2015-10-01 13:20:44 157.71 Kb
2003 BN 98 Application of FSP for Authorisation.pdf 2015-10-01 13:20:59 758.18 Kb
2004 BN 102 COC Short-term deposit Business.pdf 2015-10-01 13:21:00 116.77 Kb
2004 BN 26 Guidance on License App Procedure.pdf 2015-10-01 13:21:10 312.75 Kb
2004 BN 39 COC Forex FSPs.pdf 2015-10-01 13:21:22 764.11 Kb
2004 BN 9 Form of License.pdf 2015-10-01 13:21:25 163.62 Kb
2005 BN 20 Code of Conduct Demutualisation Organisations.pdf 2015-10-01 13:21:31 281.85 Kb
2006 BN 95 Case fees Ombud.pdf 2015-10-01 13:21:36 304.48 Kb
2007 BN 63 Nominees operating in SA.pdf 2015-10-01 13:21:48 468.6 Kb
2008 BN 103 Continuous Professional Development Requirements.pdf 2015-10-01 13:21:53 377.68 Kb
2008 BN 105 Determination of Qualification Criteria and Qualifications for FSPs.pdf 2015-10-01 13:24:11 4.73 Mb
2008 BN 106 Determination of FandP Requirements.pdf 2015-10-01 13:23:29 1.57 Mb
2008 BN 153 Application as Representative Body.pdf 2015-10-01 13:25:55 2.47 Mb
2008 BN 154 Determination of Examination Body Criteria.pdf 2015-10-01 13:26:16 3.96 Mb
2008 BN 571 Hedge Fund Risk Disclosure.pdf 2015-10-01 13:26:16 88.6 Kb
2008 BN 85 Form of External Auditors Report.pdf 2015-10-01 13:26:36 889.16 Kb
2009 BN 123 PI Cover Requirements.pdf 2015-10-01 13:26:19 61.91 Kb
2010 BN 127 Qualification and Experience of COs.pdf 2015-10-01 13:27:06 843.68 Kb
2012 BN 127 Application for Authorisation as CO.PDF 2015-10-01 13:26:57 647.89 Kb
2012 BN 135 List of Recognised Qualifications.pdf 2015-10-01 13:29:10 5.81 Mb
2012 BN 136 CO List of Recognised Qualifications.pdf 2015-10-01 13:28:46 342.38 Kb
2013 BN 257 Conditions for Foreign CIS.pdf 2015-10-01 13:29:18 281.9 Kb
2014 BN 62 Levies on Financial Institutions 2014.pdf 2015-10-01 13:29:48 1.58 Mb

FAIS Board Notices Exemptions


NameModifiedSize
2004 BN 103 Exemption of Banks iro certain Clients.pdf 2015-10-01 13:17:04 45.01 Kb
2004 BN 104 Exemption of certain Clients.pdf 2015-10-01 13:17:07 75.45 Kb
2004 BN 40 Exemption Certified copy of License.pdf 2015-10-01 13:17:12 17.9 Kb
2004 BN 94 Exemption in respect of Certain Applicants for Authorisation.pdf 2015-10-01 13:17:25 18.55 Kb
2004 BN 96 Exemption of Intermediaries Guarantee Facility.pdf 2015-10-01 13:17:44 35.08 Kb
2004 BN 97 Exemption in respect of certain Office Holders.pdf 2015-10-01 13:17:52 19.43 Kb
2004 BN 99 Exemption of Sole Props and Partners from CO Qualifications.pdf 2015-10-01 13:17:55 31.22 Kb
2008 BN 104 Exemption in respect of services under Supervision.pdf 2015-10-01 13:19:02 2.01 Mb
2010 BN 126 Exemption of CO supervision.pdf 2015-10-01 13:18:44 816.35 Kb
2011 BN 144 Exemption of FSP and Representatives from COI.pdf 2015-10-01 13:19:02 79.77 Kb
2011 BN 166 Exemptions of Foreign FSPs.pdf 2015-10-01 13:19:22 246.76 Kb
2011 BN 193 Exemptions of Audited Statements.pdf 2015-10-01 13:19:22 631.47 Kb
2011 BN 199 FAIS General Exemption Level 1 RE.pdf 2015-10-01 13:19:30 208.31 Kb
2012 BN 102 Certain Persons Exemption from Level 1 RE.PDF 2015-10-01 13:19:50 985.52 Kb
2012 BN 139 Cat A Exemption from PI Cover and Fidelity Cover.pdf 2015-10-01 13:19:47 65.86 Kb
2012 BN 163 General Exemption from CPD Requirements.pdf 2015-10-01 13:19:49 34.41 Kb
2012 BN 207 Exemption Of Compliance Officers From The Regulatory Examination.pdf 2015-10-01 13:19:51 36.35 Kb
2012 BN 208 Exemption re Financial Services iro Private Equity Funds.pdf 2015-10-01 13:19:56 177.98 Kb
2013 BN 119 Exemption RE Level 1.pdf 2015-10-01 13:19:58 208.11 Kb
2013 BN 120 General Exemption from RE Level 2.pdf 2015-10-01 13:20:03 141.49 Kb
2013 BN 273 Exemption of particular Representatives of Old Mutual.pdf 2015-10-01 13:20:04 124.45 Kb
2013 BN 43 Exemption of Burial Societies and Stokvels.pdf 2015-10-01 13:20:10 195.85 Kb
2013 BN 65 Exemption of Level 1 RE until Finalisation of Application.pdf 2015-10-01 13:20:10 92.02 Kb
2014 FN 35 Exemption FAIS Sec 13-1-c.pdf 2015-10-01 13:20:12 24.34 Kb
2014 FN 44 Exemption iro Private Equity Funds.pdf 2015-10-01 13:20:19 420.71 Kb

Regulatory Communications FAIS


NameModifiedSize
2009 Circular 3 Submission of Compliance Reports for FSPs without CO.pdf 2015-10-01 13:41:01 26.78 Kb
2009 Circular 4 Part-Qualification Recognition and Application Process.pdf 2015-10-01 13:41:01 27.59 Kb
2010 Circular 1 Debarment of representatives not meeting FandP.pdf 2015-10-01 13:41:04 35.11 Kb
2010 Circular 10 Appointment of CO.pdf 2015-10-01 13:41:05 82.82 Kb
2010 Circular 11 Guarantees.pdf 2015-10-01 13:41:08 95.78 Kb
2010 Circular 2 Sole props and KI not meeting FandP.pdf 2015-10-01 13:41:08 28.12 Kb
2010 Circular 3 Application for Living Annuities.pdf 2015-10-01 13:41:11 72.37 Kb
2010 Circular 4 Compliance Reports.pdf 2015-10-01 13:41:11 31.41 Kb
2010 Circular 5 Category B1 and B2 - PFC.pdf 2015-10-01 13:41:14 40.13 Kb
2010 Circular 6 Overdue returns.pdf 2015-10-01 13:41:13 15.42 Kb
2010 Circular 7 Regulatory Exams.pdf 2015-10-01 13:41:18 66.64 Kb
2010 Circular 8 First Level Regulatory Exams.pdf 2015-10-01 13:41:21 230.31 Kb
2010 Circular 9 Preparation for Regulatory Exams.pdf 2015-10-01 13:41:30 308.06 Kb
2011 Circular 1 Identifying which RE Level 1 to Write.pdf 2015-10-01 13:41:32 241.84 Kb
2011 Circular 10 Compliance Officer RE.pdf 2015-10-01 13:41:37 126.26 Kb
2011 Circular 11 Exemption re audited fin statements.pdf 2015-10-01 13:41:38 87.95 Kb
2011 Circular 2 RE Exams FAQs.pdf 2015-10-01 13:41:48 326.08 Kb
2011 Circular 3 Preparing for the REs.pdf 2015-10-01 13:41:45 119 Kb
2011 Circular 4 RE Language.pdf 2015-10-01 13:41:51 97.15 Kb
2011 Circular 5 RE Cancellation Clause.pdf 2015-10-01 13:41:51 43.73 Kb
2011 Circular 6 Submission of 2011 Compliance Reports.pdf 2015-10-01 13:41:55 78.26 Kb
2011 Circular 7 Extention of RE Deadline.pdf 2015-10-01 13:41:55 55.1 Kb
2011 Circular 8 Late Notifications on Debarment.pdf 2015-10-01 13:42:00 136 Kb
2011 Circular 9 Amendment to Cat II Report.pdf 2015-10-01 13:41:59 46.74 Kb
2012 Circular 1 Afrikaanse RE.pdf 2015-10-01 13:42:09 192.69 Kb
2012 Circular 10 RE Update.pdf 2015-10-01 13:42:15 488.47 Kb
2012 Circular 11 Cash Management System Accounts.pdf 2015-10-01 13:42:21 211.73 Kb
2012 Circular 12 Level 1 RE Update.pdf 2015-10-01 13:42:26 359.85 Kb
2012 Circular 13 RE Update.pdf 2015-10-01 13:42:34 325.23 Kb
2012 Circular 2 Rollout RE3.pdf 2015-10-01 13:42:35 80.58 Kb
2012 Circular 3 REs General Info.pdf 2015-10-01 13:42:44 244.27 Kb
2012 Circular 4 Bulk Move and Resigning of Mandates.pdf 2015-10-01 13:42:46 288.71 Kb
2012 Circular 5 Compliance Reports.pdf 2015-10-01 13:42:55 207.37 Kb
2012 Circular 6 FAIS Conference.pdf 2015-10-01 13:42:59 398.05 Kb
2012 Circular 7 Registration for RE.pdf 2015-10-01 13:43:10 357.68 Kb
2012 Circular 8 FSB Workshops.pdf 2015-10-01 13:43:19 573.59 Kb
2012 Circular 9 RE Exemption Application.pdf 2015-10-01 13:43:21 56.62 Kb
2013 Circular 1 Fee Disclosure 3rd Party CIS Portfolios.pdf 2015-10-01 13:43:22 48.8 Kb
2013 Circular 10 Qualification Verification Process.pdf 2015-10-01 13:43:26 151.96 Kb
2013 Circular 2 RE Update.pdf 2015-10-01 13:43:33 369.03 Kb
2013 Circular 3 Irregularity Reporting.pdf 2015-10-01 13:43:44 517.53 Kb
2013 Circular 4 Rep Registers and Debarment.pdf 2015-10-01 13:43:52 465.65 Kb
2013 Circular 5 Compliance Reports.pdf 2015-10-01 13:43:59 305.32 Kb
2013 Circular 6 Level 2 RE Exemption.pdf 2015-10-01 13:44:02 223.81 Kb
2013 Circular 7 New Debarment Form.pdf 2015-10-01 13:44:03 17.81 Kb
2013 Circular 8 RE and CPD Update.pdf 2015-10-01 13:44:11 246.55 Kb
2013 Circular 9 RE and CO RE Update.pdf 2015-10-01 13:44:11 99.87 Kb
2014 Circular 1 Update on RE for Foreign FSPs.pdf 2015-10-01 13:44:19 190.3 Kb
2014 Circular 2 Electronic Update of Rep Registe.pdf 2015-10-01 13:44:20 159.52 Kb
2014 Circular 3 Level 1 RE Transitional Arrangements.pdf 2015-10-01 13:44:28 185.03 Kb
2014 Circular 4 Amendments to FAIS Act.pdf 2015-10-01 13:44:58 1.63 Mb
2014 Circular 5 Electronic Update of Rep Register.pdf 2015-10-01 13:45:19 161.88 Kb

Regulatory Communications FIC Public


NameModifiedSize
2014. Directive 3 Failure to Report to FIC.pdf 2015-10-01 13:45:11 138.61 Kb
CIPC Electronic Certificates - Adequate for KYC Verification Purposes.pdf 2015-10-01 13:45:19 14.77 Kb
Cash Threshold Reporting - Batch Resubmission.pdf 2015-10-01 13:45:16 98.46 Kb
PCC 01 - Launch.pdf 2015-10-01 13:45:26 122.77 Kb
PCC 02 - Record Keeping Period.pdf 2015-10-01 13:45:25 82.1 Kb
PCC 05 - Registration as AI.pdf 2015-10-01 13:45:35 363.31 Kb
PCC 06 - Clarity on FICA Schedule 1 Item 2.pdf 2015-10-01 13:45:29 45.5 Kb
PCC 07 - Definition of a Motor Vehicle Dealer.pdf 2015-10-01 13:45:39 124.21 Kb
PCC 11 - Closing of Account is a Transaction.pdf 2015-10-01 13:45:42 133.25 Kb
PCC 12 - Outsourcing Compliance Activities to Third Parties.pdf 2015-10-01 13:45:46 152.08 Kb
PCC 13 - Scope of FICA Schedule 1 Item 12.pdf 2015-10-01 13:45:49 183.95 Kb
PCC 14 - Client Agent Identification Requirements.pdf 2015-10-01 13:45:52 114.85 Kb
PCC 16 - CTR meaning of Readily Available.pdf 2015-10-01 13:45:53 62.35 Kb
PCC 18 - Sec 43B CO and FICA Training.pdf 2015-10-01 13:45:55 85.74 Kb
PCC 19 - Internal Rules for Group Structure.pdf 2015-10-01 13:45:59 199.92 Kb
PCC 22 - ID re International Privacy Laws.pdf 2015-10-01 13:46:02 177.27 Kb
PCC 24 - Verification of Companies and Close Corporations.pdf 2015-10-01 13:46:06 180.19 Kb
PCC 25 - Scope of Item 12 of Schedule 1.pdf 2015-10-01 13:46:11 236.47 Kb
PCC 26 - Single Client View.pdf 2015-10-01 13:46:14 169.7 Kb
PCC 28 - Terrorist Property Reporting Obligations.pdf 2015-10-01 13:46:20 274.44 Kb
PCC 29 - Clarity on Exemption 4.pdf 2015-10-01 13:46:25 238.12 Kb
Suspicious Transaction Reporting - Duty not to disclose.pdf 2015-10-01 13:46:25 34.73 Kb

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