Access to recording of webinar for Financial Services Providers

1 FSCA COMMUNICATION 25 OF 2025 (FAIS) Access to recording of webinar for Financial Services Providers

1. PURPOSE The purpose of this Communication is to inform registered Financial Services Providers (FSPs) that the recording of a recent webinar hosted by the Financial Sector Conduct Authority (FSCA) is available on the FSCA’s YouTube channel and to provide additional details in this regard.
2. BACKGROUND 2.1. The FSCA recorded a new webinar for FSPs during November 2025. 2.2. The recording of this webinar is now available for viewing on the FSCA’s YouTube channel at the link provided below.
3. DETAILS OF THE WEBINAR 3.1.1. Topic: Compliance Arrangements 3.1.2. Contents: • Legal framework • Legislative requirements: o Section 17 of the Financial Advisory and Intermediary Services Act, No 37 of 2002 (FAIS Act) o Regulation 4 of the FAIS Regulations, 2003: Application for approval o Regulation 5 of the FAIS Regulations, 2003: Establishment of a compliance function o Board Notice 127 of 2010 (Qualifications, Experience and Criteria for approval as Compliance Officer) o FAIS Notice 119 of 2017 (Exemption of Compliance Officers from Section 4(4) of the Notice on Compliance Officers) read with FSCA FAIS Notice 85 of 2023 (Amendment of the Notice on Exemption of Compliance Officers from Section 4(4) of the Notice on Compliance Officers • Definition of a Compliance Officer • Entities Requiring a Compliance Officer

2 • Establishment of a Compliance Function • Due diligence obligations for FSPs • Withdrawal of a Compliance Officer • Responsibilities of a Compliance Officer • Compliance monitoring reports • Resignation of a Compliance Officer • Best practices 3.1.3. Link: Click here to access the recording. 4. ENQUIRIES 4.1. For more information about this Communication and the above webinar, please contact: • Ms. Mpho Mashashane-Masango: Mpho.Mashashane-masango@fsca.co.za • Ms. Dimakatso Zililo Dimakatso.Zililo@fsca.co.za • Mr. Sidwell Francis: Sidwell.Francis@fsca.co.za 4.2 For any problems accessing the recordings, please contact Mr. Akashen Rampersadh at Akashen.Rampersadh@fsca.co.za 4.3 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: 9 December 2025