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2002 2004 2013 2016 2017 Account operations Accountability Accounting Act Act No. 37 of 2002 Additional applicability Additional requirements applicable to adjustments Administration of Act Administrative Administrative and Administrative and Discretionary FSP's, 2003 Administrative FSPs administrative powers Advertising advice advisors Advisory Committee after authorisation agreement all Categories of FSPs Amendment Amendment of exemption Amendment of Exemptions Amendment of the Qualifications Amendment or withdrawal Amendment Rules Amendments and Representatives, 2020 Annexure 1 Annexure 2 Annexure 3 Annexure Five Annexure Four Annexure One Annexure Six Annexure Three Annexure Two Annexures Appeals application Application by registrar Application for approval Application of Application of Act Application of Chapter application of Code Application of Determination Application of Part applying to Appointment Appointment of representatives Appropriate Subject List approval Arrangements as Compliance Officer, 2022 audit requirements authorisation Authorisation of Authorised Financial authorised Financial Services Providers Authorised FSPs Basic principles of Bi-Annual Compliance Report Board Board Notice 102 of 2004 Board Notice 108 of 2013 Board Notice 123 of 2009 Board Notice 126 of 2010 Board Notice 127 of 2010 Board Notice 172 of 2009 Board Notice 176 of 2011 Board Notice 194 of 2017 Board Notice 199 of 2011 Board Notice 39 of 2004 Board Notice 60 of 2009 Board Notice 79 of 2003 Board Notice 80 of 2003 Board Notice 81 of 2003 Board Notice 89 of 2018 Board Notices business Business rescue call Case fees Categories I, II, IIA, III and IV providers Categories II and IIA Categories lll FSPs Categories of FSPs Category I FSPs Category II FSPs Category IIA FSPs Category III Category III FSPs Category IV FSPs Category of FSPs Category of persons Ceasing certain references Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5 Chapter 6 Chapter 7 Chapter I Chapter II Chapter III Chapter IV Chapter V Chapter VI Chapter VII Class of business training Classes of Business client client education clients closure Code Code of Conduct Codes of Conduct commencement Competence Requirements Complaint Resolution complaints Complaints Management Compliance Compliance Arrangements compliance function compliance officer Compliance Officers Compliance Officers, 2010 Compliance Ofrficer(s) compliance qualifications Compliance Report Compliance with condition conditions Confidentiality and Privacy Construction Construction of Notice Contacting of client contemplated Continuous Professional Development cost disclosure costs and interest court orders CPO requirements after approval Criteria for Phase I approval Criteria for Phase II approval Criteria for recognition Crypto Asset Custody of Dealing with clients Debarment Declaration Declaration of Declarations Definitions Definitions and application Delegation of Delegations deputy ombuds deputy registrar Determination Determination of Fees Payable Determinations direct marketing Directives Disclosure of information discretionary FSP discretionary FSPs Disestablishment duties Early warning requirements Enforcement Enforcing entities Establishment exemption Exemption of Banks, 2009 Exemptions experience Experience and Criteria for Approval Experience requirements for Extent of exemption Fees Fidelity Insurance Cover for Providers, 2009 Financial Advisory and Intermediary Services Act Financial Advisory and Intermediary Services Act, 2002 Financial Product financial products Financial Sector Regulation Act financial service Financial Services Board Financial Services Business Financial Services Providers Financial Soundness fines Fit and Fit and Proper fit and proper requirements for Financial Services Providers foreign forex forex investment Forex Investment Advisors Forex Investment Business Forex Investment Intermediaries Form A Form of Licence, 2018 FSPs FSPs and Key Individuals FSPs that provide automated advice functions Fundamental principles Funding funds Furnishing of advice General General Code General Code of Conduct General competence requirements General duties of provider General Duties of Providers General Exemption General experience requirement General functions General Notice No. 1350 of 2022 General Prohibitions General provisions General requirement General requirements good standing Governance requirements Granting hedge fund FSPs honesty in connection with complaints Incidents without indicating independent nominee Independent nominees information Information about Information on Information on product suppliers Insurance integrity intermediary Interpretation Introductory provisions investigation investment jurisdiction juristic representatives justiciable by Ombud Key Individuals lack integrity Lapsing lapsing of approval Lapsing of experience Laws Amended Level 1 Regulatory Examination Liaison between licence Limitation of liability liquidation Liquidity calculation Maintenance Mandate Mandates Marketing or Advertising of Matters relating to Minimum CPD hours Minimum Experience Minimum experience requirements Minimum qualifications Minister Miscellaneous Money market Multiple Category FSPs No person Nominee companies Notice Notice No. 1453 of 2002 Notice No. 1586 of 2016 Notice No. 879 of 2003 Notice No. 89 of 2018 Notices nvestmen Object Objectives of exemption of complaints of respondent of the Ombud Offences Ombud Ombud and Registrar Ombud for Ombud scheme On-going compliance with Operational Ability Operational requirements Other enforcement measures Other information and explanations other than a representative of the FSP Outsourcing of functions Part Part 1 Part 2 Part 3 Part 4 Part 5 Part I Part II Part III Part IV Part IX Part l Part ll Part lll Part V Part VI Part VII Part VIII Part X Part XI Part XII Part XIII Part XIV Penalties Period persons are not honest Powers Powers of registrar prescription Principles procedural matters Proceedings of the Office product specific training product suppliers Professional Indemnity Prohibitions Prohibitions on Canvassing for Promotion proper requirements providers provisions Publication Purpose Purpose of Determination Qualifications Qualifications recognised qualifying as complainants Qualifying Criteria Recognition Recognition of qualifications Record keeping Record-keeping Records Reduction of CPD hours refusal registrar Regulations Regulatory Examination Regulatory examination requirements Regulatory Examinations Regulatory instruments relation to Category I FSPs relation to Category II FSPs Relationship between Act relationship with client remedies rendering of compliance services Repeal Repeal of previous Board Notices Repealed Repeals Report of Reporting reporting requirements Reporting to clients Representatives Representatives conducting Representatives in Requirement Requirements Requirements and conditions Requirements and Conditions, 2008 Requirements applicable to Requirements for Requirements, 2020 Resolution of complaints Responsibilities of an FSP Right to consideration of decision Rights and duties Rights of complainants Risk Management Rules Saving of rights savings Schedule Schedule 1 section 1(1) Section 35(1)(C) of Act sequestration sequestration or liquidation Services Providers Services under Supervision Setting and taking of Short title Short title and commencement Short-term Deposit Business signed by Special Provisions specific and generic compliance qualification specific Categories of FSPs specific Category I FSPs Specific Code of Conduct Specific obligations Specific requirement for FSPs Specific requirements submitting Summary dismissal Suspension systems and procedures Table 1 Table 2 Table 3 Table 4 Termination of Tier 1 and Tier 2 Financial Products Time limits Time of licensing Title to a person to the Registrar Transitional arrangements Transitional provision Transitional provisions Type of complaint Unauthorised Financial Services Undesirable practices Unsolicited contacting of client Updating Voluntary sequestration Waiver of rights winding-up Withdrawal withdrawal of Written agreement