FSCA Communication 23 of 2023 (FAIS) – Meet the Regulator Information Sharing and Awareness Day

1 FSCA COMMUNICATION 23 OF 2023 (FAIS) Invitation to Financial Services Providers: Meet the Regulator Information Sharing and Awareness Day - 19 September 2023

1. PURPOSE 1.1 The purpose of this communication is to inform licensed Financial Services Providers (FSPs) that the Financial Sector Conduct Authority (FSCA) will host an in-person information sharing and awareness event at its premises on 19 September 2023, and to provide additional information in this regard.
2. DETAILS OF EVENT 2.1 FSPs are invited to meet with the FSCA in person to trouble shoot specific issues or challenges being faced in respect of their regulatory obligations. 2.2 Date of event: 19 September 2023 2.3 Time: 09:30 – 14:30 2.4 Venue: FSCA Offices Block B, Riverwalk Office Park 41 Matroosberg Road Ashlea Gardens, Pretoria 2.5 Registration details: FSPs who wish to attend must register for an available timeslot by clicking here. Timeslots are as follows: • Meet the Regulator Session 1: 09:30 – 11:30 • Meet the Regulator Session 2: 11:30 – 13:00 • Meet the Regulator Session 3: 13:00 – 14:30
3. CONTENT TO BE COVERED 3.1 There will be no formal presentations on the day.

2 3.2 Various helpdesks will be available to assist with specific topics affecting FSPs. 3.3 Representatives from the following FSCA Departments will be in attendance: • Licensing and Business Centre o To assist with queries relating to licensing, registration, profile changes and related matters. • Consumer Education o To provide information about public awareness activities conducted by the FSCA and possible opportunities for collaboration with FSPs on financial education initiatives. • Conduct of Business Supervision o Financial Advisors and Intermediaries (FAIS) Supervision o Investment Providers Supervision o AML/CFT (FICA) Supervision o Micro-institution and Access Providers Supervision 3.4 There will also be representation from the Financial Intelligence Centre (FIC) to assist with goAML registrations. 3.5 FSPs that wish to discuss the following topics must bring along the necessary information and documentation as indicated in the table below: TOPIC INFORMATION / DOCUMENTATION REQUIRED Profile Changes • FSP number. • Details of the change, including supporting documents (where relevant) DOFA ID/Passport Complaints Details of complaint Qualifications Copy of qualification details, especially transcripts (results statements) CPD ID/Passport ePortal log-in and submissions FSP number Licence copies/ duplicates FSP number Financial statements Copy of financial statements Financial soundness Copy of financial statements Start-up business Business plan and copy of financial statements Intermediary agreements Copy of agreements

3 TOPIC INFORMATION / DOCUMENTATION REQUIRED goAML registration AML/CFT/FICA • Customer due diligence • Risk management and compliance programmes • Targeted financial sanctions • Reporting obligations • Certified copy of ID / passport • Signed authorisation letter on letterhead of the accountable institution (AI) with details of: o money laundering compliance officer o username o ID / passport number o occupation of the user o role of the user to be allocated on the goAML system Suspensions/ Withdrawals FSP number Debarments FSP number and ID/Passport Re-appointments ID/Passport 4. ENQUIRIES 4.1 For more information about this Communication and the above event, please contact: • Ms Charene Nortier: Charene.Nortier@fsca.co.za • Ms Mpho Mashashane-Masango: Mpho.Mashashane-Masango@fsca.co.za • Ms. Dimakatso Zililo: Dimakatso.Zililo@fsca.co.za • Mr Xolani Mkumla: Xolani.Mkumla@fsca.co.za • Mr. Vuyile Mnukwa: Vuyile.Mnukwa@fsca.co.za 4.2 This Communication is available on the FSCA’s website (www.fsca.co.za) at the following path: Home > Regulatory Frameworks > Industry Communication > FAIS > FSCA Communication. FARZANA BADAT DEPUTY COMMISSIONER FINANCIAL SECTOR CONDUCT AUTHORITY Date of publication: 7 September 2023