Financial Sector Conduct Authority

633 documents, newest first — showing 201–400.

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2022-05-17Conduct Standard Requirements for Third Party Cell Captive Insurance Business
2022-04-28Risk Management and Compliance Programme Framework 2022 Reviewed
2022-04-22South African National Terrorism Financing Risk Assessment
2022-04-20FSCA Communication 13 of 2022 (FAIS) on Submission of Compliance, Handover and Irregularity Reports for FSPs
2022-04-19FSCA Communication 12 of 2022 (RF) Exemption from Prescribed Financial Statement Formats
2022-04-14FSCA AML CFT Body of Knowledge - April 2022
2022-04-14FSCA Sector Risk Assessment for CIS, Financial Advisory and Intermediary Services Sectors (2018–2020)
2022-03-24FSCA Communication 11 of 2022 (FAIS) Extension of Representative Register Submission Deadline
2022-03-18FSCA Exemption of Independent Intermediaries from Commission Clawback Under Regulation 5.4
2022-03-18FSCA Communication 7 of 2022 Withdrawal of Request for Information 2 of 2022
2022-03-18FSCA Exemption of Hedge Fund Managers from Certain Requirements in Notice 778 of 2011
2022-03-18FSCA Communication 8 of 2022 (RF)
2022-02-28FSCA Draft Conduct Standard on Benchmark Provision Requirements
2022-02-28FSCA Exemption of FSPs, Key Individuals and Representatives from Certain Competency Requirements
2022-02-22Securities Sector Risk Assessment Report April 2018 to December 2020
2022-02-18FSCA Communication 3 of 2022: Permissible Deductions from Portfolio
2022-02-15Conduct Standard on Payment of Pension Fund Contributions
2022-02-15FSCA Submission of Draft Conduct Standard on Payment of Pension Fund Contributions
2022-02-08Joint Roadmap for the Development of a Regulatory Framework for Central Clearing in South Africa
2022-01-31FSCA Exemption for Direct Collection of Premium Extended by 12 Months
2021-12-22FSCA Communication 22 of 2021 Update on the Cross-Sectoral Conduct of Business Return
2021-12-17Joint Communication 7 of 2021: Change in Naming Convention for Licensed Insurers Under the Insurance Act 2017
2021-12-15Joint Communication 6 of 2021: Draft Joint Standard on Cybersecurity and Cyber Resilience Requirements
2021-12-14FSCA Communication 21 of 2021 (GENERAL): Extension of Deadline for Licensed Financial Institutions to Verify Information
2021-11-19FSCA Communication 20 of 2021 (RF) – Conditions for Investment in Hedge Funds
2021-11-02FSCA Communication 19 of 2021 on Submission of Representative Register
2021-09-09Joint Communication 5 of 2021: Draft Joint Standard on Outsourcing by Insurers
2021-09-01Frequently Asked Questions on Registration with the Financial Intelligence Centre
2021-09-01FSCA Communication 18 of 2021 on Bank Branch Closures and ATM Removals
2021-08-18FSCA Communication 17 of 2021: Expectations for Premium Increases on Funeral Policies
2021-08-16Joint Communication 4 of 2021: Implementation Roadmap and Information Request for OTC Derivative Margin Requirements
2021-08-12FSCA Communication 16 of 2021 (FAIS): Submission of Compliance, Handover and Irregularity Reports for FSPs
2021-08-11Draft Conduct Standard for Co-operative Financial Institutions 2021
2021-07-30FSCA Proposed Amendments to the 2017 Policyholder Protection Rules for Public Comment
2021-07-29FSCA Draft Conduct Standard on Conditions for Pension Fund Benefit Administrators
2021-07-16WDB Growth Fund Notice of Administrative Sanction
2021-07-16FSCA Administrative Sanction Notice to World Wide Advisory Services (Pty) Ltd
2021-07-08Momentum Collective Investment (RF) (Pty) Ltd Sanction Notice Letter
2021-07-08FSCA Administrative Sanction Notice to Momentum Wealth (Pty) Ltd
2021-07-05FSCA Guidance on the Use of Electronic Signatures and Prepopulated Documents
2021-06-09Joint Communication 2 of 2021: Effective Date for Margin Requirements on Non-Centrally Cleared OTC Derivatives
2021-06-09Joint Communication 3 of 2021 – Draft Joint Standard on Information Technology Risk Management
2021-05-28FSCA Draft Exemption of Collective Investment Scheme Managers from Electronic Signature Requirements
2021-04-30FSCA Communication 10 of 2021 (CIS): Guidance Notice on Net Asset Valuation and Pricing Best Practices for Collective Investment Schemes
2021-04-29FSCA Communication 8 of 2021 (INS) New Insurance Conduct of Business Returns
2021-04-29FSCA Communication 9 of 2021 (RF): Update on Endorsement of Fund Rule Amendments During the Covid-19 National State of Disaster
2021-04-22FSCA Communication 7 of 2021 (FM) – Determination of Form and Manner for Central Counterparty Licence Applications
2021-04-15FSCA Communication 6 of 2021: Qualification Requirements for CMS Accreditation
2021-04-13FSCA Administrative Sanction Notice to Maxi Forces Financial Services
2021-04-13AFS Capital Notice of Administrative Sanction
2021-04-13JAB Financial Services Notice of Administrative Sanction
2021-03-31Joint Communication 1 of 2021: Central Counterparty Licence Application Requirements
2021-03-16FSCA Communication 5 of 2021 (RF) extends the submission deadline and recommends a format for retirement fund information requests
2021-03-10Frequently Asked Questions on the Financial Intelligence Centre Act Directive to Provide Information 2021
2021-02-18FSCA Exemption of Retirement Funds for COVID-19 Related Rule Amendment Fees
2021-02-12FSCA Further Extension of Deadline for Insurers to Submit Information Request 4 of 2020
2021-02-10FSCA Draft Exemption Notice on Competency Requirements for Financial Services Providers
2021-01-29FSCA Communication 1 of 2021 (INS): Exemption for Direct Collection of Premiums
2021-01-22Information Letter 3/2013: Guidance on Binder Functions and Remuneration
2021-01-22Information Letter 3 of 2014 (LTST) – Key Findings on Complaints Management
2021-01-22Information Letter 1/2012 (ST) – Requirements for Bailee Insurance Under the Short-term Insurance Act
2020-12-14FSCA Communication 57 of 2020 Standardised Application Forms for Retirement Fund Extensions under Section 279 of the FSRA
2020-12-14FSCA Communication 56 of 2020 (RF) – Supervisory Concerns on Statutory Returns Submission
2020-12-02FSCA Draft Conduct Standard on Governance and Fit and Proper Requirements for Collective Investment Scheme Managers
2020-11-30Joint Communication 8 of 2020: Joint Standard for Significant Owners
2020-11-25Fortunate Brokers Administrative Sanction Notice
2020-11-25FSCA Administrative Sanction Notice to BOT and Investments CC
2020-11-25FSCA Administrative Sanction Notice to Standerton Versekeringsmakelaars BK (Jes Venter Finansiele Dienste)
2020-11-16FSCA Communication 54 of 2020 (INS) Extension for Submission of Insurer Information
2020-11-13FSCA Communication 53 of 2020 Reclassification of Inward Listed Debt, Derivatives and Foreign-Referenced ETFs
2020-10-09FSCA Administrative Sanction Notice to Debbie Barnard Finansiele Dienste
2020-10-09Brian Michael Papas Administrative Sanction Notice
2020-10-09FSCA Draft Conduct Standard on Conditions for Investments in Hedge Funds
2020-10-09FSCA Conduct Standard 5 of 2020 – Conditions for Smoothed Bonus Policies to Form Part of Default Investment Portfolios
2020-10-09Central Motors Lichtenburg trading as Mia Motors Notice of Administrative Sanction
2020-10-09Employees Benefit International Notice of Sanction
2020-10-09Goodsure Brokers (Pty) Ltd Administrative Sanction
2020-10-07FSCA Draft Conduct Standard on Advertising, Marketing and Information Disclosure for Collective Investment Schemes
2020-10-07FSCA Draft Conduct Standard on Securities Lending Conditions for Pension Funds
2020-09-30Information Letter 3 of 2008 (LTST) on the Prohibition on Inducements
2020-09-23FSCA Communication 48 of 2020 (CIS): Impact of COVID-19 on Approval of Supplemental Deeds
2020-08-21FSCA Communication 47 of 2020 on Principal Officers and Directive PF No. 8
2020-08-18FSCA Communication 46 of 2020 (FAIS) on Prepopulated Records of Advice
2020-07-28FSCA Draft Conduct Standard on Third-Party Cell Captive Insurance Business
2020-07-28FSCA Communication 45 of 2020 (RF): Boards of Retirement Funds Expiration of Term and COVID-19
2020-07-24FSCA Exemption of Collective Investment Scheme Managers from Section 44(2) and (3) of the CISCA
2020-07-10FSCA Conduct Standard on Minimum Skills and Training Requirements for Pension Fund Board Members
2020-07-09FSCA Communication 41 of 2020 on Retirement Fund Compliance
2020-07-08FSCA Communication 40 of 2020 (FM) Impact of COVID-19 on Compliance with Financial Markets Act Requirements
2020-07-06FSCA Communication 39 of 2020 Extension for Insurance Conduct of Business Returns Submission
2020-07-03FSCA Final Conduct Standard for Banks
2020-06-30Conduct Standard for Smoothed Bonus Policies in Default Investment Portfolios
2020-06-29FSCA Discussion Document on Ensuring Appropriate Financial Consumer Education Initiatives
2020-06-26FSCA Communication 36 of 2020: Impact of COVID-19 on Financial Markets Act Compliance
2020-06-26FSCA Final Amendments to General and Short-term Deposit Codes of Conduct and Fit and Proper Requirements under FAIS
2020-06-19FSCA Stance on Business Interruption Insurance During COVID-19
2020-06-17Joint Communication 7 of 2020: Precautionary Measures for Financial and Payment Institutions to Limit COVID-19 Spread
2020-06-15Conduct Standard on Minimum Skills and Training Requirements for Pension Fund Board Members
2020-06-10FSCA Communication 33 of 2020 (RF) – Minimum Individual Reserve Assumptions for Defined Benefit Pension Funds
2020-06-08FSCA Draft Conduct Standard on Communication of Benefit Projections to Pension Fund Members
2020-06-08FSCA Communication 30 of 2020 – Conduct Standard on Living Annuity Conditions in an Annuity Strategy
2020-06-08FSCA Draft Conduct Standard on Conditions for Investment in Derivative Instruments for Pension Funds
2020-06-02Joint Communication 6 of 2020: Margin Requirements for Non-Centrally Cleared OTC Derivatives
2020-06-01FSCA Communication 29 of 2020: Exemption of Banks from Section 4 of the Credit Rating Services Act
2020-05-29FSCA Communication 27 of 2020 (FM) Impact of COVID-19 on Financial Markets Act Compliance
2020-05-29FSCA Communication 28 of 2020 (RF) – Draft Conduct Standard on Pension Fund Contribution Payments
2020-05-20FSCA Communication 26 of 2020 (FM) – Draft Conduct Standard and Directive for Exchanges
2020-05-19FSCA Final Conduct Standards on Delegation of Administration and Net Asset Valuation for Collective Investment Schemes
2020-05-13FSCA Communication 24 of 2020 Update on Insurance Conduct of Business Returns for Long- and Short-Term Insurers
2020-05-12Joint Communication 5 of 2020: Covid-19 Business Interruption Insurance
2020-05-11Joint Communication 4 of 2020: Clarification on Regulatory Requirements for Funeral Insurance Policies
2020-05-07Joint Communication 2A of 2020: Covid-19 Supervisory Response
2020-04-29Joint Communication 3 of 2020: Proposed Implementation Dates for Regulatory Frameworks Amid COVID-19
2020-04-22Joint Communication 2 of 2020: Covid-19 Supervisory Response
2020-04-21FSCA Communication 23 of 2020 (CIS): Expectations for Managers of Collective Investment Schemes During COVID-19
2020-04-20Joint Communication 1 of 2020: COVID-19 Regulatory Response
2020-04-17FSCA Draft Exemption Notices on Direct Premium Collection by Independent Intermediaries
2020-04-16FSCA Communication 21 of 2020: Extension for Pension Fund Valuation Report Submissions
2020-04-16FSCA Exemption of Financial Services Providers and Juristic Representatives from Certain Financial Soundness Requirements
2020-04-16FSCA Exemption Notices for Short-Term and Long-Term Insurers Providing Premium Relief
2020-04-15FSCA INS Notice 7 of 2020 Exemption for Long-Term Insurers Providing Premium Relief
2020-04-15FSCA Communication 18 of 2020 – FAIS Compliance and Handover Report Submission Requirements for 2020
2020-04-14FSCA Draft Exemption Notice for Public Comment on Insurers Offering Investment Policies to Medical Schemes
2020-04-09Joint Directive to Financial Institutions under the Disaster Management Regulations (9 April 2020)
2020-04-06FSCA Exemption of Fitch Ratings Limited from Credit Rating Services Act Requirements
2020-04-03FSCA Communication 15 of 2020: Impact of COVID-19 on FMA Compliance
2020-04-02FSCA Expectations on Insurers and FSPs Regarding Premium Collection for Funeral Policies During COVID-19
2020-03-30FSCA Communication 12 of 2020 (General): Expectations for Regulated Entities During the COVID-19 Crisis
2020-03-30FSCA Communication 13 of 2020 (FM) - Extension of Objection Period for JSE Debt Listing Amendments
2020-03-27FSCA Communication 11 of 2020: Urgent Rule Amendments for Financially Distressed Employers and Employees Under Section 13A of the Pension Funds Act
2020-03-25FSCA Communication 10 of 2020 on Section 37C Application
2020-03-25FSCA Interpretation Ruling 1 of 2020 on Section 37C of the Pension Funds Act
2020-03-24FSCA Communication 9 of 2020 (General)
2020-03-23FSCA Communication 8 of 2020 (General)
2020-03-05FSCA Exemption from Prescribed Formats for Preparing Financial Statements under Section 15 of the Pension Funds Act
2020-03-05FSCA Communication 7 of 2020 (RF): Submission of Historically Outstanding Actuarial Valuation Reports and Annual Financial Statements
2020-03-03FSCA Retail Banking Diagnostic Assessment and Recommendations (Annexure A)
2020-02-28FSCA Further Extension of Compliance Period for Funds Under Regulation 38
2020-02-26FSCA Submission to Parliament of Amendments to the FAIS General Code of Conduct, Short-term Deposit Code and Fit and Proper Requirements
2020-02-26FSCA Communication 2 of 2020 (BANKS) Submission to Parliament of Draft Conduct Standard for Banks
2020-02-24Conduct Standard for Banks
2020-02-19FAIS Workshops for Small FSPs 2019–20
2020-01-30FIC Communique on Non-Life Insurance Risk Assessment and Regulatory Inclusion
2020-01-24FSCA General Extension of Compliance Period for Short- and Long-Term Insurance Regulations
2020-01-20Microinsurance Product Standards
2020-01-20Data Management, Claims and Complaints
2020-01-20Distribution Channels and Intermediation Arrangements
2020-01-20FAIS Micro Insurance Presentation
2020-01-08FSCA Communication 7 of 2019: Prohibition on Principal Officer Gratification
2019-12-19FSCA Communication 10 of 2019 on Transport Policy Exemption from Identity Number Requirements
2019-12-19FSCA Communication 9 of 2019: Draft Exemption for Independent Intermediaries Under Insurance Regulations
2019-12-13Retail Distribution Review Discussion Document on Investment Related Matters December 2019
2019-12-13Retail Distribution Review Equivalence of Reward Position Paper December 2019
2019-12-13Retail Distribution Review Intermediary Activity Segmentation and Related Matters December 2019
2019-12-13Retail Distribution Review General Status Update December 2019
2019-12-13Retail Distribution Review: Adviser Categorisation Discussion Document
2019-12-12Retail Distribution Review Proposal TT on Remuneration for Low-Income Savings and Investment Products
2019-12-11Final Conduct Policy Proposals for Third Party Cell Captive Insurance
2019-12-09Joint Communication 4 of 2019: Draft Standards for Central Counterparty and External Trade Repository Licences
2019-12-05FSRA Conduct Standard 2018 on Delegation of Administration Functions for Collective Investment Schemes
2019-12-05Conduct Standard on Net Asset Valuation Calculation and Pricing for Collective Investment Scheme Portfolios
2019-12-05FSCA Communication 2 of 2019 on CIS Administration Delegation and Net Asset Valuation
2019-11-12FSCA Communication 5 of 2019 (PFA)
2019-11-12FSCA Communication 6 of 2019 (PFA): Draft Interpretation Ruling on Section 37C of the Pension Funds Act
2019-11-06FSCA Joint Industry Guideline on Minimum Data Exchange Requirements for Non-Life Insurance
2019-10-10FSCA Communication 4 of 2019 (PFA) - Section 26(2) Candidate Database
2019-10-04FSCA Communication 1 of 2019: Draft Exemption for CIS Managers and Auditors
2019-09-27FSCA Communication 7 of 2019 General Extension of Compliance Period for STIA Regulation 4 and LTIA Regulation 8
2019-09-18Notice of Administrative Sanction for BGC SA Financial Brokers (Pty) Ltd
2019-09-184.4.1 Sector Risk Assessment - Short Version (31 May 2019)
2019-09-18FSCA Administrative Sanction Notice to SATRIX Managers for Financial Intelligence Centre Act Breaches
2019-09-12FSCA RFSD Conference Keynote Address by Olano Makhubela (12 September 2019)
2019-09-06FSCA Communication 3 of 2019 (PFA)
2019-08-30FSCA Communication 1 of 2019 Request for Information from Identified Financial Institutions
2019-08-14FSCA FAIS Workshops 2019-20 Invitation
2019-08-01FSCA Communication 2 of 2019 Exemption from Regulation 37(2)(g) for Hybrid Annuities
2019-07-24FSCA Communication 6 of 2019 (Insurance) Draft Exemption Notice
2019-07-23FSRA Joint Communication 3 of 2019: Draft Joint Standard on Fit and Proper Requirements for Significant Owners
2019-06-14FSCA Communication 1 of 2019 (PFA)
2019-06-10Update on the Implementation of Legal Entity Identifiers (LEIs)
2019-06-03Rules of a Retirement Fund
2019-06-03Roles and Responsibilities of Trustees
2019-06-03Directive PF No. 8: Prohibition on the Acceptance of Gratification
2019-06-03Amendments to the Pension Funds Act Regulations on Default Investment Portfolios and Annuity Strategies
2019-06-03Information Circular PF No 1 of 2018: Reporting and Protected Disclosures under the Pension Funds Act
2019-06-03FSCA Financial Statements for Retirement Funds
2019-06-03Default Regulations
2019-06-03Guidance Notice 8 of 2018: Application of Default Regulations (Regulations 37, 38, 39 and 40)
2019-06-03Workshop Programme and Guidance for Trustees
2019-06-03Section 13A and Regulation 33
2019-06-03Directive 8, Whistleblowing and Enforcement Actions
2019-06-03Guidance Notice 2 of 2018: Guidance on Directive 8 Prohibition on Acceptance of Gratification
2019-05-27FSCA Communication 5 of 2019: Format for Replacement Advice Record in Long-term Insurance
2019-05-23FSCA Communication 1 of 2019: Scripted Execution of Sales
2019-05-09FSCA Communication 4 of 2019: Standardized Application and Notification Forms for Insurance Regulations
2019-05-09Implementation of the amendments to the FIC Act
2019-04-09FSCA Position Paper on Future Premium Collection Regulatory Framework
2019-04-08FSRA Joint Communication 2 of 2019: Draft Joint Standard on Margin Requirements for Non-Centrally Cleared OTC Derivative Transactions
2019-03-27FSCA Communication 2 of 2019 (FAIS): Continuous Professional Development
2019-03-20Information Circular No 2 of 2019: Applications for Exemption from or Extension to Comply with Default Regulations