Credit Rating Services Act, 2012 (Act No. 24 of 2012)

Board Notices

Requirements for Approval of Compliance Unit

Forms

Form 1

Purchase

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FINANCIAL SERVICES BOARD

APPLICATION FOR APPROVAL OF COMPLIANCE UNIT

Company name: .....................................................................................................................

1. Type of Compliance Unit, (tick applicable box)

a)	a unit within the registered credit rating agency

b)	an external compliance unit

2. Compliance Officer

(a)	Details of Compliance Officer;

Surname:	.................................................................................................................................................
Names:	.................................................................................................................................................
Identity Number:	.................................................................................................................................................
Nationality:	.................................................................................................................................................
Employed by:	.................................................................................................................................................
Reports to and title:	.................................................................................................................................................

(b) Business address where based:

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(c) Residential address of Compliance Officer or Head of Compliance:

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(d) Qualifications and name of Institution where obtained:

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(e) Experience, attach detailed curriculum vitae.

(f)	An external compliance unit must submit to the registrar a plan evidencing its ability to regularly monitor the compliance of the registered credit rating agency as well as its ability to comply with the duties of a compliance officer as set out in section 16(3)(a) of the Act.