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.
#keyindividuals
MBSE expands regulatory exam training with new RE1 programme
Developed in response to industry demand, the online course focuses on building the regulatory knowledge aspiring Key Individuals need for their oversight responsibilities.
The hidden compliance risks behind DOFA, onboarding and supervision
Moonstone’s Paull Lawrence shares practical insights on why DOFA is far more than an administrative record, and where hidden compliance risks can emerge for FSPs.
CPD deadline days away: MBSE highlights immediate-access course options
Professionals still have time to complete any outstanding hours, but they should avoid leaving enrolment to the weekend.
New CPD courses tackle crypto advice and real-world ombud lessons
MBSE launches two practical CPD programmes to help advisers meet crypto compliance requirements and learn from ombud rulings shaping the financial services industry.
Levy increases for 2025/26 lower than initially proposed
Moonstone’s levy calculator enables FSPs to find out quickly how much they will pay to the FSCA, FAIS Ombud, and Tribunal.
COFI is coming – and FSPs can’t afford to wait
Early preparation for COFI will give firms a competitive edge and help to avoid the compliance scramble seen during FAIS implementation.
Don’t let CPD creep up on you again – plan ahead and lighten the load
MBSE has launched a fresh range of online courses – covering topics such as CODI, banking conduct, FICA for banks, and impactful feedback – to help you sharpen your skills.
Make your CPD hours count before the 31 May deadline
With the clock ticking, MBSE’s flexible, value-packed online CPD courses help you stay compliant and grow professionally – even at the last minute.
No room for dishonesty: Tribunal upholds decision to reject FSP licence
The case illustrates how discrepancies in disclosure can undermine an individual’s suitability for a key role, resulting in the rejection of a licence application.
Temporary RE exemption for crypto FSPs extended
The Authority gives crypto asset service providers a seven-month reprieve.
Temporary RE exemption for crypto FSPs expires in three months
FAIS Notice 25 of 2023 exempts crypto asset FSPs and KIs from the regulatory examination requirements for 18 months.
Authority highlights regulatory focus areas in 2024
FSCA pinpoints lack of oversight by KIs, FICA non-compliance, and unauthorised copy trading and funeral insurance business.
Unlicensed crypto and OTC derivative providers in FSCA’s crosshairs
The Authority warns key individuals not to associate their names with ODP operators without knowing how they are conducting their business.
