RE1 and RE5: Get your regulatory examination sorted before year-end
From booking deadlines, examination fees, and what to bring on the day, here is what candidates need to know to plan for their RE1 or RE5 regulatory examination.
#financialservicesproviders
SFC could bring more global financial-services activity onshore
JSE Group chief executive Valdene Reddy says the SFC could build local expertise and a broader financial-services ecosystem around foreign portfolio management.
FSCA imposes R4.1m penalty and 25-year debarment on Du Plessis
The case began with a public warning in 2024 over alleged unrealistic returns and claims that Du Plessis had misrepresented his links to Sanlam Private Wealth.
SA plans framework to attract global investment-management business
The proposed SFC could create opportunities in international business for qualifying FSPs with the licences, systems, and controls required to participate.
The COFI shift that could reshape customer disclosure
Section 31 of the Bill offers a window into a conduct framework built around relationships, outcomes, and ongoing institutional accountability.
IBanxso, IMedbond, kunye neSteinhoff zinyuse izohlwayo zeFSCA zafikelela kwi-R2.9bn
Ingxelo yeMisebenzi yoLawulo ibonisa indlela iGunya elidibanisa ngayo izohlwayo, ukurhoxiswa kweelayisenisi, kunye nokukhutshwa kwempahla ukuze kulungiswe ukuziphatha okubi kakhulu
Can advisers explain their AI-assisted recommendations?
Panellists at the FIA Advice Summit said advisers must question AI-generated recommendations, apply their own judgement, and remain accountable for the advice they give.
COFI: Existing licence holders won’t have to reapply
The FSCA plans to consult on its relicensing approach and publish it about six months before the relevant provisions take effect.
FSCA investigates Sanus after receiving client complaints
The regulator is examining possible contraventions involving the provider, which operates the EZInvest and Financix trading platforms.
UPDATED | Regulator provisionally withdraws five FSP licences
The separate actions follow findings of alleged contraventions at three providers and preliminary questions about the management and oversight of two others.
FSCA reviews broker-fee governance and bank sales conduct
The 2025/26 Integrated Report records supervisory work on disclosure, customer consent, transactional fees, and customer treatment.
Your client’s email is hacked. You make the payment. Who pays?
Practical steps for FSPs and their clients to spot, verify, and prevent fraud before a compromised email becomes a costly payment.
COFI turns regulatory information into a supervisory tool
COFI would require FSPs to have systems capable of producing reliable, regulator-ready information when the FSCA requires it.
FICA penalties for three financial institutions total R35.6m
The sanctions against Capitec, Ninety One Assurance, and Albaraka arose from inspections conducted between 2021 and 2023.
Three FSPs sanctioned over FICA compliance failures
The sanctions cover a range of shortcomings, from deficient RMCPs and customer checks to sanctions screening, registration, and failures to provide information.
RE1 is just the start of the Key Individual journey
From regulatory exams to qualifications, Class of Business training, and CPD, MBSE can support professionals through the broader Fit and Proper requirements.
Final FSCA levies gazetted for 2026/27
Moonstone’s updated calculator enables FSPs to estimate their Schedule 2, Ombud Council, Tribunal, and FAIS Ombud levy components.
