Financial Sector Conduct Authority

930 documents, newest first — showing 201–400.

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2023-11-01Joint Communication 3 of 2023: Criteria for Exempting External CCPs and Trade Repositories from the Financial Markets Act
2023-11-01Draft Joint Standard of 2023: Criteria for Exemption of External CCPs or Trade Repositories
2023-10-23Guidance Issued by the Financial Intelligence Centre
2023-10-17FSCA Communication 27 of 2023: Criminal Record Verification for Designated Persons and Significant Owners
2023-10-17FSCA Communication 27 of 2023: Criminal Record Verification of Certain Designated Persons and Significant Owners
2023-10-03FSCA Communication 26 of 2023 (INS): Draft Exemption Notice for Microinsurers from Rule 2A.6.1
2023-10-03FSCA Communication 26 of 2023 (INS): Publication of the Draft Exemption Notice of Microinsurers from Rule 2A.6.1 of the Policyholder Protection Rules (Long-Term Insurance), 2017
2023-09-28Jannie Parsons Future Financials Appeal Board Judgement
2023-09-28Jannie Parsons Future Financial (Pty) Ltd Notice of Sanction
2023-09-27FSCA Launches New Trustee Training Toolkit for Retirement Fund Board Members with Completion Deadlines
2023-09-26FSCA Communication 24 of 2023 (FM CRA)
2023-09-26Publication of the Draft Equivalence Framework for Financial Markets and Draft Determination of Requirements Relating to External Central Counterparty and External Trade Repository Licence Applications for Public Consultation
2023-09-26Draft Equivalence Framework for Financial Markets and Draft Determination of Requirements for External CCP and Trade Repository Licence Applications
2023-09-07FSCA Communication 23 of 2023 (FAIS) – Meet the Regulator Information Sharing and Awareness Day
2023-09-01FSCA Anti-Money Laundering Webinar for Accountable Institutions
2023-08-31FSCA Communication 21 of 2023 (RF) – Private Security Sector Provident Fund Employer Listing
2023-08-25Joint Communication 2 of 2023: Margin Requirements Model Application Suite
2023-08-25Joint Communication 2 of 2023-Margin Requirements Model Application Suite
2023-08-14FSCA Communication 20 of 2023 (RF) on Section 37C Application
2023-07-19FSCA Communication 19 of 2023 (RF)
2023-07-052023 FSCA 3-Year Regulation Plan
2023-06-29FSCA Communication 18 of 2023 (FAIS): Status Update on FAIS Ombud Rules Amendment
2023-06-29FSCA Communication 17 of 2023
2023-06-28Draft Position Paper on Open Finance
2023-06-09Notice of publication – Amendments to Joint Standard 2 of 2020: Margin Requirements for non-centrally cleared over-the-counter derivative transactions, 2023
2023-06-09Joint Communication 1 of 2023: Amendments to Margin Requirements for Non-Centrally Cleared OTC Derivative Transactions
2023-06-07Joint Standard Amendment 1 of 2023 - Amendments to Joint Standard 2 of 2020
2023-06-01Joint Standard on IT Governance and Risk Management Requirements
2023-05-15FSCA Sustainable Finance Statement (March 2023)
2023-05-11FSCA Communication 15 of 2023 on Late Payment Interest Calculation for Pension Funds
2023-05-11FSCA Conduct Standard 1 of 2023: Conditions for Pension Fund Investment in Derivatives
2023-05-11FSCA Exemption of Persons Rendering Financial Services in Relation to Crypto Assets from Certain Requirements, 2023
2023-05-11FSCA Communication 15 of 2023 (RF): Calculation of Late Payment Interest by Pension Funds
2023-05-09FSCA Communication 13 of 2023 (FAIS) on Workshop Recordings and CPD Requirements
2023-05-04FSCA Communication 12 of 2023: Changes to Criminal Verification Checks for Collective Investment Schemes
2023-03-31FSCA Communication 10 of 2023 (FM) – Short Sale Reporting and Disclosure Requirements
2023-03-31FSCA Draft Conduct Standard on Requirements for Financial Institutions Providing Financial Education Initiatives
2023-03-31FSCA Statement on Sustainable Finance and Programme of Work
2023-03-31FSCA Communication 10 of 2023 (FM): Notice Regarding the Publication of Draft Conduct Standard – Requirements Relating to the Reporting and Disclosure of Short Sales
2023-03-30The FSCA's Strategy for Promoting Financial Sector Transformation
2023-03-30FSCA Strategy for Promoting Financial Sector Transformation
2023-03-09FSCA Communication 9 of 2023 (FAIS) - Workshops for Financial Services Providers
2023-03-06FSCA Communication 8 of 2023 Regarding Collective Investment Schemes
2023-03-02FSCA Communication 7 of 2023 (RF) – List of Reinstated Participating Employers
2023-02-20FSCA Final Guidance Notice on Section 14(7) of the Pension Funds Act, 1956
2023-02-20FSCA Communication 6 of 2023 (RF): Final Guidance Notice on the Application of Section 14(7) of the Pension Funds Act, 1956
2023-02-17FSCA Communication 5 of 2023: Updated Document Formats for Pension Fund Contributions
2023-02-15Exemption of Managers of Collective Investment Schemes from Certain Requirements of Section 99(1) of CISCA
2023-02-15FSCA Communication 4 of 2023 (CIS) Exemption for Collective Investment Scheme Managers
2023-02-01Joint Standard 2 of 2020 Margin Requirements for Non-Centrally Cleared OTC Derivative Transactions
2023-01-31FSCA Communication 2 of 2023 (INS): Exemption for Direct Collection of Premium - Extension of the Exemption Until Further Notice
2023-01-31FSCA Communication 2 of 2023 (INS): Extension of Premium Collection Exemption
2023-01-31FSCA Communication 3 of 2023 Exemption of Retirement Funds from Board Notice 75 Conditions
2023-01-23FSCA Communication 1 of 2023 (RF): Enhanced Online Submission Process for Section 14 Transfer Applications
2023-01-13FSP 2189 Robin Asset Management CC Administrative Sanction Notice
2023-01-13Notice of Administrative Sanction Against Overal Financial Services CC
2023-01-09FSCA Communication 40 of 2022 (FAIS) on Workshop Recordings for Financial Services Providers
2022-12-14FSCA-PA Joint Communication 4 of 2022
2022-12-13Joint Communication 3 of 2022 – Eligible Collateral for Margin Requirements on Non-Centrally Cleared OTC Derivatives
2022-12-13Eligible collateral under Joint Standard 2 of 2020 – Margin requirements for non-centrally cleared OTC derivative transactions
2022-12-07Conduct Standard on Conditions for Investment in Derivative Instruments by Pension Funds
2022-12-02FSCA Publication of Amendment Notices to the General Code of Conduct and Compliance Officer Qualifications
2022-12-02FSCA Communication 39 of 2022 (FAIS): Publication of Amendment Notices to the General Code of Conduct and Compliance Officer Approval Criteria
2022-11-25FSCA Revised Draft Conduct Standard on Benchmark Provision Requirements for Public Consultation
2022-11-25FSCA Communication 38 of 2022 (FM) - Publication of revised draft Conduct Standard for public consultation
2022-11-17FSCA Communication 37 of 2022 FAIS Upcoming Workshops for Financial Services Providers
2022-11-11FSCA Exemption for Collective Investment Scheme Managers from Board Notice 90 of 2014 Requirements
2022-11-09FSCA Communication 34 of 2022 Extension for Retirement Funds Paid-Up Members Data Submission
2022-11-09FSCA Draft Prudential Standard on Regulatory Reporting and Audited Financial Statements for Pension Funds
2022-11-09Draft Prudential Standard on Regulatory Reporting and Audited Financial Statements for Pension Funds
2022-11-04Publication of draft Prudential Standard – Regulation 28 Quarterly Reporting Requirements for Pension Funds
2022-11-04Draft Prudential Standard of 2022 - Regulation 28 Quarterly Reporting Requirements for Pension Funds
2022-11-04FSCA Draft Prudential Standard on Regulation 28 Quarterly Reporting Requirements for Pension Funds
2022-11-03FSCA Communication 32 of 2022 on Submission of Actuarial Valuation Reports
2022-11-02FSCA Communication 31 of 2022 (RF): Publication of draft Notice proposing exemption of funds from conditions in Board Notice 75 of 2009 for public consultation
2022-11-02FSCA Communication 31 of 2022: Draft Exemption for Pension Funds from Board Notice 75
2022-10-19Publication of Declaration of a Crypto Asset as a Financial Product and Accompanying Exemption Notices
2022-10-19Policy Document Supporting the Declaration of Crypto Assets as Financial Products under the FAIS Act
2022-10-19FSCA Communication 30 of 2022: Declaration of Crypto Assets as Financial Products and Exemptions
2022-10-19Policy Document Supporting the Declaration of a Crypto Asset as a Financial Product under the Financial Advisory and Intermediary Services Act
2022-10-05FSCA Communication 29 of 2022 (FAIS) Financial Soundness Workshops and Survey for FSPs
2022-09-30FSCA Communication 27 of 2022 (RF): Determination of Document Formats for Pension Fund Contributions
2022-09-30Publication of Determination of Format of Documents in Respect of Requirements Related to the Payment of Pension Fund Contributions
2022-09-30FSCA Conduct Standard 2 of 2022 – Requirements for Third Party Cell Captive Insurance Business
2022-09-30FSCA Communication 28 of 2022 (INS): Publication of FSCA Conduct Standard 2 of 2022 – Requirements relating to third party cell captive insurance business
2022-09-27FSCA Discussion Paper on Framework for Unclaimed Assets in South Africa
2022-09-27FSCA Communication 26 of 2022 (General): Publication of Discussion Paper on a Framework for Unclaimed Assets in South Africa, 2022
2022-09-21FSCA Discussion Paper - A Framework for Unclaimed Financial Assets in South Africa 2022
2022-09-16FSCA Communication 25 of 2022: Amendment to Exemption from Joint Standard 1 of 2020
2022-09-02Joint Communication 2 of 2022 on the Expansion of Eligible Collateral Types and Regulatory Reporting Requirements
2022-08-31FSCA Communication 24 of 2022 (FAIS) – Financial Soundness Workshops and Survey for FSPs
2022-08-19FSCA Communication 23 of 2022 (RF): Conduct Standard on Pension Fund Contribution Payments
2022-08-19FSCA Consultation Report on Draft Conduct Standard: Requirements Related to the Payment of Pension Fund Contributions
2022-08-05FSCA Draft Amendment to Exemption from Joint Standard 1 of 2020 for Public Comment
2022-08-04Amendment Notices GCoC and QEC for Approval as Compliance Officer
2022-07-11Exemption of Managers of Collective Investment Schemes from certain requirements of section 99(1) of CISCA
2022-07-11FSCA Communication 21 of 2022 (CIS) Exemption for Collective Investment Scheme Managers
2022-07-06FSCA Communication 20 of 2022 (FAIS) – Draft Amendment to FAIS Ombud Rules
2022-07-05FSCA Draft Guidance Notice on Section 14(7) of the Pension Funds Act, 1956
2022-07-04KFS Finserv (Pty) Ltd Notice of Administrative Sanction
2022-07-04Foremost Finance (Pty) Ltd Notice of Administrative Sanction
2022-07-04FSCA Final Administrative Sanction Notice to Ravensberg Advisory and Consulting Services (Pty) Ltd
2022-07-04Ravensberg (Pty) Ltd Consent Order on Financial Penalty Variation
2022-06-30FSCA Regulation Plan 1 April 2022 - 31 March 2025
2022-06-30FSCA Regulation Plan 1 April 2022 to 31 March 2025
2022-06-22FSCA Communication 18 of 2022 (RF): Request for Information Related to Retirement Funds Paid-Up Members
2022-06-22FSCA Communication 18 of 2022 (RF) Request for Information on Retirement Fund Paid-Up Members
2022-06-13Notice of invitation to comment - Proposed amendments to Joint Standard 2 of 2020 - Margin requirements for non-centrally cleared over-the-counter derivative transactions
2022-06-13Joint Communication 1 of 2022: Proposed Amendments to Joint Standard 2 on OTC Derivative Margin Requirements
2022-06-09FSCA Communication 17 of 2022 (RF): Arrear Contributions - An Alert to Retirement Funds and Employers
2022-06-09FSCA Communication 17 of 2022 on Arrear Contributions for Retirement Funds and Employers
2022-06-08Roadmap for the Development and Implementation of the Omni-CBR
2022-06-08Roadmap for the Roll-out and Implementation of Cross-Sectoral Conduct of Business Return (Omni-CBR)
2022-06-08Roadmap for the Roll-out and Implementation of Cross-Sectoral Conduct of Business Return (Omni-CBR)
2022-06-03FSCA Exemption of Collective Investment Scheme Managers from Certain Board Notice 92 Requirements
2022-06-01FSCA Communication 14 of 2022 (RF): Further clarification of the use of certain prescribed formats for preparing financial statements under section 15 of the Pension Funds Act, 1956
2022-06-01FSCA Communication 14 of 2022 (RF)
2022-05-27Withdrawal of Joint Communication 7 of 2020
2022-05-27Withdrawal of Joint Communication 7 of 2020 (Precautionary measures by financial institutions and payments institutions to limit the spread of the coronavirus (COVID-19))
2022-05-17Conduct Standard Requirements for Third Party Cell Captive Insurance Business
2022-05-03Important Information About the FATF Mutual Evaluation of South Africa in Relation to Immediate Outcome 4: Preventative Measures
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)
2022-04-14FSCA Sector Risk Assessment CIS Financial Advisory and Intermediary Services Sectors - April 2018 to December 2020 (April 2022) final
2022-03-24FSCA Communication 11 of 2022 (FAIS) Extension of Representative Register Submission Deadline
2022-03-18Exemption of Managers of Hedge Funds from Certain Requirements in Notice 778 of 2011
2022-03-18FSCA Communication 7 of 2022 (RF): Withdrawal of FSCA Request for Information 2 of 2022 (RF)
2022-03-18FSCA Communication 8 of 2022 (RF): Regulation 28: Increased foreign portfolio investment limits
2022-03-18FSCA Communication 8 of 2022 (RF)
2022-03-18FSCA Exemption of Hedge Fund Managers from Certain Requirements in Notice 778 of 2011
2022-03-18FSCA Communication 7 of 2022 Withdrawal of Request for Information 2 of 2022
2022-03-18FSCA Exemption of Independent Intermediaries from Commission Clawback Under Regulation 5.4
2022-03-10FSCA Exchanges Immediate Outcome 4 and Sector Risk Assessment Communication
2022-02-28FSCA Draft Conduct Standard on Benchmark Provision Requirements
2022-02-28FSCA Communication 5 of 2022 (FM) - Publication of draft Conduct Standard on benchmark provision
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
2022-02-15FSCA Submission of Draft Conduct Standard on Payment of Pension Fund Contributions
2022-02-15FSCA Communication 2 of 2022 (RF): Submission to Parliament of Draft Conduct Standard on Requirements Related to the Payment of Pension Fund Contributions
2022-02-15Conduct Standard on Payment of Pension Fund Contributions
2022-02-08Joint Roadmap for the Development of a Regulatory Framework for Central Clearing in South Africa
2022-02-08Joint Roadmap for the Development of a Regulatory Framework for Central Clearing in South Africa
2022-01-31FSCA Communication 1 of 2022 (INS): Exemption for Direct Collection of Premium - Extension of the Exemption for 12 Months
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
2021-12-22FSCA Communication 22 of 2021 (General): Update on development of 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 Period for FSCA Information Request 2 of 2021 (General)
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
2021-11-02FSCA Communication 19 of 2021 (FAIS): 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 Reports, Handover Reports and Irregularity Reports for 2021
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
2021-07-16FSCA Administrative Sanction Notice to World Wide Advisory Services (Pty) Ltd
2021-07-16WDB Growth Fund Notice of Administrative Sanction
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
2021-06-09Publication of draft Joint Standard – Information technology risk management
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
2021-06-09Determination of the effective date: Joint Standard 2 of 2020 - Margin requirements for non-centrally cleared over-the-counter derivative transactions
2021-05-28FSCA Draft Exemption of Collective Investment Scheme Managers from Electronic Signature Requirements
2021-04-30FSCA Communication 10 of 2021 (CIS): Publication of Guidance Notice on Net Asset Valuation Calculation and Pricing Best Practice Guidelines for Collective Investment Scheme Portfolios
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 9 of 2021 (RF): Update on Endorsement of Fund Rule Amendments During the Covid-19 National State of Disaster
2021-04-29FSCA Communication 9 of 2021 (RF): Update on endorsement of rule amendments of funds received during the national state of disaster brought about by the Covid-19 pandemic
2021-04-29FSCA Communication 8 of 2021 (INS) New Insurance Conduct of Business Returns
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
2021-04-15FSCA Communication 6 of 2021 (FAIS): Qualification requirements for Council for Medical Schemes (CMS) accreditation
2021-04-13JAB Financial Services Notice of Administrative Sanction
2021-04-13FSCA Administrative Sanction Notice to Maxi Forces Financial Services
2021-04-13AFS Capital Notice of Administrative Sanction
2021-03-31Joint Standard 1 of 2021 - Requirements relating to Central Counterparty Licence Applications
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
2021-03-16FSCA Communication 5 of 2020 (RF): Extension for due date for submission of the information requested from retirement funds in terms of the FSCA Information Request 6 of 2020 (RF) and recommended format for use
2021-03-10Frequently Asked Questions on the Financial Intelligence Centre Act Directive to Provide Information 2021
2021-03-10Frequently Asked Questions on the Financial Intelligence Centre Act Directive to Provide Information 2021
2021-02-18FSCA Communication 4 of 2021 (RF): Exemption of funds from Regulation 24(a)(iv) of the Pension Funds Act, 1956 relating to COVID-19 related rule amendments
2021-02-18FSCA Exemption of Retirement Funds for COVID-19 Related Rule Amendment Fees
2021-02-12Further extension of the deadline for submission of information requested from insurers in terms of FSCA Information Request 4 of 2020 (INS)
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