We are responsible for the regulation and supervision of securities exchanges central securities depositories, clearing houses, central counterparties and trade repositories with the aim of ensuring that the South African capital markets are fair, efficient and transparent. We also uphold the confidence in the South African capital markets, promotion of the protection of investors, reduction of systemic risk and promotion of the international and domestic competitiveness of the South African capital markets.
The Securities Regulatory Framework enables issuers to list its securities (shares, derivatives and bonds) on an exchange and creates a safe environment for investors to buy and sell listed securities and to place their securities for safe custody with a central securities depository.
| Service Level Commitment for Market Integrity | |
| Strate PFMI IOSCO Final Report Publishing |
| Service Level Commitment |
| CIS in Participation Bonds | |
| CIS in Property | |
| CIS in Securities | |
| CISCA - Model Deed for CIS in Property | |
| ETF Standard Deeds | |
| ETF Standard Supplemental Deeds | |
| Format of certificates | |
| Format of reports |
The FSCA regulates and monitors the conduct of credit rating agencies. We follow a risk-based regulatory approach and are committed to adhering to the recommendations of the G20 and the International Organisation of Securities Commission (IOSCO).
Credit rating agencies can apply below for their mandatory registration, or exemption from registration, as well as request amendments to their registration details.
This announcement confirms that the credit ratings issued by the following credit rating agencies have been approved for endorsement by credit rating agencies registered with the Financial Sector Conduct Authority. This implies that a regulated person can use credit ratings issued by the following credit rating agencies subject to endorsement by a credit rating agency registered with the Financial Sector Conduct Authority for regulatory purposes within the Republic.
- No Application has been received
| Service Level Commitment for Market Integrity |
- Newsletters: All the FAIS newsletters issued to industry from 2013 to date
- Guidance Notes: The Guidance Notes issued under the FAIS Act that are in force
- FAIS Guides: The FAIS Guides developed for sole proprietors, which provides guidance on accessing functions on the e-services portal, and guides for developing internal policies
- Financial statements and audit requirements: The requirements for the drawing up of and submitting financial statements and audit reports
- Compliance reports: The links to the compliance reports for FSPs and Compliance Officers who do not submit them via the e-services portal
- Nominee companies: Guidelines and documents relevant to nominee companies
- Resources and documents: Presentations, information circulars and other useful information
- Service level commitments
- Exemption applications
| Information Circular PF 4 of 2013 |
| Format for replacement advice record and related documents | |
| INS001 Notification form - new binder agreement (v1) | |
| INS002 Application form - approval to pay binder fees in excess of binder cap (v1) | |
| INS003 Notification form - termination of a binder agreement (v1) | |
| INS004 Notification form - arrangement to pay remuneration ito Reg 3.24 LTIA and Reg 5.11 STIA (v1) | |
| INS005 Application form - exemption under Reg 6.5 of Regulations LTIA and STIA (v1) | |
| INS006 Application form - delay or postpone the issue and delivery of fund policy (v1) | |
| INS007 Notification form - Intention to launch a new micro or funeral product ito Rule 2A of PPRs (v1) | |
| INS008 Notification form - Termination of group schemes Rule 20 LT PPRs Rule 19 ST |
| Information Letter 6 (LTST) |
Retirement Fund Supervisory Information
- Service level commitment: define the roles, responsibilities and time periods with regard to services rendered
- Guidance Notes
- Addition to distribution list: To be added to the distribution list to receive documents issued by the Registrar of Pension Funds, e.g., Information Circulars, Pension Funds Directives etc.
- Financial Statements Guidance Notes: The requirements for the drawing up of and submitting financial statements and audit reports
- Quarterly Non Compliance Guidance Notes: The requirements to complete the non-compliance report on a fund level, issuer/entity level and member level, where a fund exceeded the limits as prescribed in Regulation 28.
- Trustee Toolkit: a development programme for trustees, based on the Registrar of Pension Funds’ guidelines on good governance for retirement funds which assists trustees to get a better understanding of their role and functions.
- Resources and Documents: Presentations and other useful information
- Liquidations
- Exemption applications
- Actuarial Services: The requirements for submitting transfer documents and valuation reports