** Due to the COVID 19 Lockdown, our facilitated RE1 and RE5 courses have been postponed untill further notice – please contact us on email@example.com to enquire about other options we may offer.
REGULATORY EXAMINATION PREPARATION WORKSHOPS
With reference to the FAIS Act 37 of 2002 and Board Notice 194 of 217
A person may not:
- Carry on business by rendering financial services clients for or on behalf of any person who – is not authorised as a service provider; and is not exempted from the application of the FAIS Act relating to the rendering of a financial service
- Act as a representative of an authorised financial services provider, unless such person – prior to rendering a financial service, provides confirmation, certified by the provider, to clients and meets the fit and proper requirements
- Act as a Key Individual of an authorised financial services provider, unless such person – prior to managing and overseeing all the activities within the FSP meets the fit and proper requirements including approval from the FSCA