It is of the utmost importance that FSPs download and save a copy of this important document. It provides step-by-step guidelines on how to interact with the Regulator on the following matters:
- Submission of compliance reports;
- Submission of handover compliance reports;
- Submission of annual financial statements;
- Applications for extensions for the submission of financial statements;
- Updating of FSP contact details;
- Obtaining copies of previous compliance reports that were submitted;
- View what details the FAIS Division has on record for a FSP;
- Submission of Section 17 irregularity reports (applicable to compliance officers);
- Obtaining an Excel copy of the DOFA report for the FSP;
- Maintaining the representative register of an FSP; and
- Submission of amendments to an FSP license (profile changes)
Please click here to download the latest version of the User Guide
