Financial Sector Conduct Authority

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2021-01-29FSCA Communication 1 of 2021 (INS): Exemption for Direct Collection of Premiums
2021-01-29FSCA Communication 1 of 2021 (INS): Exemption for Direct Collection of Premiums
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
2021-01-22Information Letter 1 of 2012 (ST): Requirements of the Short-term Insurance Act for Insurance Offered by Bailees
2021-01-22Information Letter 3/2013: Guidance on Binder Functions and Remuneration
2020-12-14FSCA Communication 57 of 2020 (RF): Application Forms for Extensions under Section 279 of the FSRA
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
2020-12-02Publication of Draft Conduct Standard on Governance, Fit and Proper and Other Requirements for Managers of Collective Investment Schemes
2020-11-30Joint Communication 8 of 2020: Joint Standard for significant owners, effective from 1 December 2020
2020-11-30Joint Communication 8 of 2020: Joint Standard for Significant Owners
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)
2020-11-25Fortunate Brokers Administrative Sanction Notice
2020-11-16Extension for Submission of Information Requested from Insurers under FSCA Information Request 4 of 2020 (INS)
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 Draft Conduct Standard on Conditions for Investments in Hedge Funds
2020-10-09FSCA Administrative Sanction Notice to Debbie Barnard Finansiele Dienste
2020-10-09Central Motors Lichtenburg trading as Mia Motors Notice of Administrative Sanction
2020-10-09Brian Michael Papas Administrative Sanction Notice
2020-10-09FSCA Conduct Standard 5 of 2020 – Conditions for Smoothed Bonus Policies to Form Part of Default Investment Portfolios
2020-10-09Goodsure Brokers (Pty) Ltd Administrative Sanction
2020-10-09Employees Benefit International Notice of Sanction
2020-10-07FSCA Draft Conduct Standard on Securities Lending Conditions for Pension Funds
2020-10-07FSCA Draft Conduct Standard on Advertising, Marketing and Information Disclosure for Collective Investment Schemes
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): Prepopulated Records of Advice
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
2020-07-28FSCA Communication 45 of 2020 (RF): Boards of Retirement Funds Expiration of Term of Office and COVID-19
2020-07-28FSCA Communication 44 of 2020 (INS): Publication of Draft Conduct Standard of 2020 – Requirements relating to third party cell captive insurance business
2020-07-24FSCA Exemption of Collective Investment Scheme Managers from Section 44(2) and (3) of the CISCA
2020-07-24Exemption of managers of collective investment schemes from section 44(2) and (3) of the Collective Investment Schemes Control Act, 2002 (CISCA)
2020-07-10FSCA Communication 42 of 2020 (RF): Publication of Final Conduct Standard for Minimum Skills and Training Requirements for Board Members of Pension Funds
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
2020-07-09Consultation Report on Conduct Standard for Minimum Skills and Training of Pension Fund Board Members
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
2020-07-06FSCA Communication 39 of 2020 (INS): Extension for the Submission of the Insurance Conduct of Business Returns (CBRs)
2020-07-03Conduct Standard 3 of 2020 (Banks): Conduct Standard for Banks
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
2020-06-29FSCA Communication 37 of 2020 (General): 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
2020-06-26FSCA Communication 36 of 2020 (FM): Impact of COVID-19 on Compliance with Requirements of the Financial Markets Act, 2012 (Act No. 19 of 2012)
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 Board Members of Pension Funds — Consultation Report
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: Joint Standard 2 of 2020 - Margin Requirements for non-centrally cleared over-the-counter (OTC) derivative transactions
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
2020-06-01FSCA Communication 29 of 2020: Publication of FSCA CRA Notice 3 of 2020 — Exemption of certain regulated persons from section 4 of the Credit Rating Services Act, 2012
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
2020-05-29FSCA Communication 28 of 2020 (RF): Publication of draft Conduct Standard on Requirements related to the payment of pension fund contributions
2020-05-29FSCA Communication 27 of 2020 (FM): Impact of COVID-19 on Compliance with Requirements of the Financial Markets Act, 2012
2020-05-20FSCA Communication 26 of 2020 (FM): Publication of Draft Conduct Standard and Draft Directive for Exchanges
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
2020-05-18Consultation Report: Conduct Standard on Net Asset Valuation Calculation and Pricing for Collective Investment Scheme Portfolios
2020-05-18FSCA Conduct Standard 2 of 2020 (CIS) - Delegation of Administration Functions: Consultation Report
2020-05-13FSCA Communication 24 of 2020 (INS): Update on Conduct of Business Returns for Insurers
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
2020-05-11Joint 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
2020-04-21FSCA Communication 23 of 2020 (CIS): Impact of Coronavirus (COVID-19): Expectations on Managers of Collective Investment Schemes
2020-04-20Joint Communication 1 of 2020: COVID-19 Regulatory Response
2020-04-1919 April 2020 Guidance on the Joint Directive in terms of the Disaster Management Regulations
2020-04-17FSCA Draft Exemption Notices on Direct Premium Collection by Independent Intermediaries
2020-04-17FSCA Communication 22 of 2020 (INS): Publication of draft exemption notices for direct collection of premium by an independent intermediary on behalf of a short-term or long-term insurer
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
2020-04-16FSCA Communication 21 of 2020: Extension for Pension Fund Valuation Report Submissions
2020-04-16Joint Communication 1 of 2020: COVID-19 Regulatory Response for South African Insurers
2020-04-16Impact of COVID-19 on Compliance with Pension Fund Valuation Submission Requirements
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
2020-04-15FSCA Communication 19 of 2020 (INS): Publication of exemptions for short-term and long-term insurers providing premium relief
2020-04-14FSCA Draft Exemption Notice for Public Comment on Insurers Offering Investment Policies to Medical Schemes
2020-04-14FSCA Communication 17 of 2020 (INS): Publication of draft exemption notice proposing an exemption of insurers that offer investment policies to medical schemes from Regulation 4.2(1) of the Regulations under the Long-Term Insurance Act, 1998
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
2020-04-06FSCA Communication 16 of 2020 (CRA): Publication of FSCA CRA Notice 2 of 2020 on the Exemption of Fitch Ratings Limited
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
2020-03-26FSCA Communication 11 of 2020 (RF): COVID-19, Section 13A of the Pension Funds Act, 1956 and Financially Distressed Employers and Employees – Submission of Urgent Rule Amendments
2020-03-25FSCA Interpretation Ruling 1 of 2020 on Section 37C of the Pension Funds Act
2020-03-25FSCA Communication 10 of 2020 (RF): Publication of FSCA Interpretation Ruling 1 of 2020 (RF) on the Application of Section 37C of the Pension Funds Act, 1956
2020-03-25FSCA Communication 10 of 2020 on Section 37C Application
2020-03-24FSCA Communication 9 of 2020 (General)
2020-03-23FSCA Communication 8 of 2020 (General)
2020-03-23FSCA Communication 8 of 2020 (General): Impact of COVID-19 on Retail Distribution Review (RDR) Discussion Documents - Feedback Dates
2020-03-05FSCA Communication 7 of 2020 (RF): Submission of Historically Outstanding Actuarial Valuation Reports and Annual Financial Statements
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 Communication 4 of 2020 (RF) Further Extension of Period for Compliance by Certain Funds with Regulation 38
2020-02-28FSCA Further Extension of Compliance Period for Funds Under Regulation 38
2020-02-26FSCA Communication 2 of 2020 (BANKS) Submission to Parliament of Draft Conduct Standard for Banks
2020-02-26FSCA Submission to Parliament of Amendments to the FAIS General Code of Conduct, Short-term Deposit Code and Fit and Proper Requirements
2020-02-24Conduct Standard for Banks
2020-02-24Consultation Report on the Draft Conduct Standard for Banks
2020-02-19FAIS Workshops for Small FSPs 2019–20
2020-02-18FSCA Communication 2 of 2020 (Banks): Submission to Parliament of draft Conduct Standard for Banks
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
2020-01-23General Extension of the Period for Compliance with Regulation 4.2(3) of the Regulations under the Short-term Insurance Act, 1998 and Regulation 8.2(2) of the Regulations under the Long-term Insurance Act, 1998
2020-01-20Data Management, Claims and Complaints
2020-01-20Microinsurance Product Standards
2020-01-20Distribution Channels and Intermediation Arrangements
2020-01-20FAIS Micro Insurance Presentation
2020-01-08FSCA Communication 7 of 2019 (PFA): Directive PF No. 8 of 2018: Prohibition on the Acceptance of Gratification
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
2019-12-19FSCA Communication 9 of 2019 (Insurance): Draft Exemption for Independent Intermediaries
2019-12-13Retail Distribution Review Discussion Document on Investment Related Matters December 2019
2019-12-13Retail Distribution Review General Status Update 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 Equivalence of Reward Position Paper December 2019
2019-12-13Retail Distribution Review: Adviser Categorisation Discussion Document
2019-12-13Retail Distribution Review: Discussion Document on Categorisation of Financial Advisers and Related Matters
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 Joint Standard, Draft Determination, and Draft Equivalence Framework
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 (CISCA): Submission to Parliament of draft Conduct Standards on Delegation of Administration Functions by CIS Managers and 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
2019-11-12Draft Interpretation Ruling: Interpretation of Section 37C of the Pension Funds Act
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
2019-10-04FSCA Communication 1 of 2019 (CISCA)
2019-09-27FSCA Communication 7 of 2019 General Extension of Compliance Period for STIA Regulation 4 and LTIA Regulation 8
2019-09-27FSCA Communication 7 of 2019 (Insurance): General Extension of the Period for Compliance with Regulation 4.2(3) of the Regulations under the Short-term Insurance Act, 1998 and Regulation 8.2(2) of the Regulations under the Long-term Insurance Act, 1998
2019-09-18FSCA Administrative Sanction Notice to SATRIX Managers for Financial Intelligence Centre Act Breaches
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)
2019-09-12FSCA 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
2019-08-30FSCA Communication 1 of 2019 (General): Request for information from certain identified financial institutions
2019-08-14FSCA FAIS Workshops 2019-20 Invitation
2019-08-01FSCA Communication 2 of 2019 (PFA): Exemption from Regulation 37(2)(g) of the Regulations under the Pension Funds Act, 1956 insofar as it relates to hybrid annuities
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
2019-07-24Publication of draft exemption notice for public comment
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) – Guidance Notice on Sustainability of Investments
2019-06-14FSCA Communication 1 of 2019 (PFA)
2019-06-10Update on the Implementation of Legal Entity Identifiers (LEIs)
2019-06-05FSCA Communication 2 of 2019 (FAIS) – Continuous Professional Development (CPD)
2019-06-03Default Regulations
2019-06-03Directive 8, Whistleblowing and Enforcement Actions
2019-06-03Directive PF No. 8: Prohibition on the Acceptance of Gratification
2019-06-03Section 13A and Regulation 33
2019-06-03FSCA Financial Statements for Retirement Funds
2019-06-03Information Circular PF No 1 of 2018: Reporting and Protected Disclosures under the Pension Funds Act
2019-06-03Amendments to the Pension Funds Act Regulations on Default Investment Portfolios and Annuity Strategies
2019-06-03Guidance Notice 2 of 2018: Guidance on Directive 8 Prohibition on Acceptance of Gratification
2019-06-03Rules of a Retirement Fund
2019-06-03Workshop Programme and Guidance for Trustees
2019-06-03Roles and Responsibilities of Trustees
2019-06-03Guidance Notice 8 of 2018: Application of Default Regulations (Regulations 37, 38, 39 and 40)
2019-05-27Publication of the format for the replacement advice record in terms of Rule 19 of the PPRs
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
2019-05-22FSCA Communication 1 of 2019 (FAIS): Scripted Execution of Sales
2019-05-09Implementation of the amendments to the FIC Act
2019-05-09FSCA Communication 4 of 2019 (Insurance): Publication of application and notification forms emanating from the Regulations and Policyholder Protection Rules under the Long- and Short-term Insurance Acts, 1998
2019-05-09Implementation of the amendments to the FIC Act
2019-05-09FSCA Communication 4 of 2019: Standardized Application and Notification Forms for Insurance Regulations
2019-04-09FSCA Position Paper on Future Premium Collection Regulatory Framework