Compliance Reports
The following 2018 Compliance Reports were published on 28 June 2018:
- Category I FSP with a Compliance Officer
- Category II and IIA FSPs (Bi-Annual Report)
- Category III FSP (Bi-Annual Report)
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP with a Compliance Office | 31 May 2018 | 15 September 2018 |
| Category II and IIA FSPs (Bi-Annual Report) | 30 June 2018 & 31 December 2018 | 31 August 2018 & 28 February 2019 |
| Category III FSP (Bi-Annual Report) | 30 June 2018 & 31 December 2018 | 31 July 2018 & 31 January 2019 |
| Category IV FSP | 31 August 2018 | 31 October 2018 |
| Foreign FSP | 31 August 2018 | 31 October 2018 |
| Category I FSP without a Compliance Officer | 31 December 2018 | 28 February 2019 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I FSP with a compliance officer need to submit FSCA FAIS Notice 32 of 2018 (PDF, 925KB)
- Category II & IIA FSPs need to submit bi-annually FSCA FAIS Notice 33 of 2018 (PDF, 1MB)
- Category III FSPs need to submit bi-annually FSCA FAIS Notice 34 of 2018 (PDF, 937KB)
- Category IV FSPs (PDF, 711KB)
- Foreign FSPs (PDF, 707KB)
- FSPs substituting or removing a compliance officer (PDF, 602KB)
- FSPs who appoint a compliance officer (PDF, 509KB)
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2017 compliance reports were published on 04 May 2017. For the 2017 reporting year there are 8 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2017 | 28 February 2018 |
| Category I FSP with a Compliance Officer | 31 May 2017 | 15 August 2017 |
| Category II and IIA FSPs (Bi-Annual Report) | 30 June 2017 & 31 December 2017 | 31 August 2017 & 28 February 2018 |
| Category III FSP (Bi-Annual Report) | 30 June 2017 & 31 December 2017 | 31 July 2017 & 31 January 2018 |
| Category IV FSP | 31 August 2017 | 31 October 2017 |
| Foreign FSP | 31 August 2017 | 31 October 2017 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I FSP without a compliance officer need to submit FAIS Notice 51 of 2017 (PDF, 253KB)
- Category I FSP with a compliance officer need to submit FAIS Notice 52 of 2017 (PDF, 383KB)
- Category II & IIA FSPs need to submit bi-annually FAIS Notice 53 of 2017 (PDF, 583KB)
- Category III FSPs need to submit bi-annually FAIS Notice 54 of 2017 (PDF, 405KB)
- Category IV FSPs need to submit FAIS Notice 55 of 2017 (PDF, 322KB)
- Foreign FSPs need to submit FAIS Notice 56 of 2017 (PDF, 243KB)
- FSPs substituting or removing a compliance officer need to submit FAIS Notice 57 of 2017 (PDF, 230KB)
- FSPs who appoint a compliance officer need to submit FAIS Notice 58 of 2017 (PDF, 133KB)
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2016 compliance reports were published on 17 May 2016. For the 2016 reporting year there are 8 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2016 | 28 February 2017 |
| Category I FSP with a Compliance Officer | 31 May 2016 | 15 August 2016 |
| Category II and IIA FSPs (Bi-Annual Report) | 30 June 2016 & 31 December 2016 | 31 August 2016 & 28 February 2017 |
| Category III FSP (Bi-Annual Report) | 30 June 2016 & 31 December 2016 | 31 July 2016 & 31 January 2017 |
| Category IV FSP | 31 August 2016 | 31 October 2016 |
| Foreign FSP | 31 August 2016 | 31 October 2016 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- FAIS NOTICE 84 Compliance Report for Cat II IIA FSP (PDF, 988KB)
- FAIS NOTICE 85 Compliance Report for Cat III FSP (PDF, 831KB)
- Category I with a compliance officer need to submit FAIS Notice 50 of 2016 (PDF, 779KB)
- Category II and IIA FSPs need to submit FAIS Notice 51 of 2016 (Repealed)
- Category III FSPs need to submit FAIS Notice 52 of 2016
- Category IV FSPs need to submit FAIS Notice 53 of 2016 (PDF, 623KB)
- Foreign FSPs need to submit FAIS Notice 54 of 2016 (PDF, 558KB)
- Category I FSP without a compliance officer need to submit FAIS Notice 49 of 2016 (PDF, 573KB)
- FSPs changing compliance officers (CO handover report) need to submit FAIS Notice 55 of 2016 (PDF, 460KB)
- FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit FAIS Notice 56 of 2016 (PDF, 368KB)
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
- FAIS Notice 21 of 2015 - Special Compliance Report for FSPs that are registered Long-term Insurers, 2015 (PDF, 57KB)
- Schedule A to FAIS Notice 21 of 2015 (PDF, 80KB)
- Schedule B to FAIS Notice 21 of 2015 - Repealed and Substituted by Schedule B to FAIS Notice 22 of 2015 (PDF, 184KB)
- Schedule C to FAIS Notice 21 of 2015 - Repealed and Substituted by Schedule C to FAIS Notice 22 of 2015 (PDF, 188KB)
- FAIS Notice 22 of 2015 - Amendment of the Special Compliance Report for FSPs that are registered Long-term Insurers, 2015 (PDF, 23KB)
- Schedule B to FAIS Notice 22 of 2015 (PDF, 184KB)
- Schedule C to FAIS Notice 22 of 2015 (PDF, 185KB)
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2015 | 28 February 2016 |
| Category I FSP with a Compliance Officer | 31 May 2015 | 15 August 2015 |
| Category II and IIA FSPs (Bi-Annual Report) | 30 June 2015 & 31 December 2015 | 31 August 2015 & 28 February 2016 |
| Category III FSP (Bi-Annual Report) | 30 June 2015 & 31 December 2015 | 31 July 2015 & 31 January 2016 |
| Category IV FSP | 31 August 2015 | 31 October 2015 |
| Foreign FSP | 31 August 2015 | 31 October 2015 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I with a compliance officer need to submit FAIS Notice 27 of 2015 (PDF, 689KB)
- Category II and IIA FSPs need to submit FAIS Notice 28 of 2015 (PDF, 949KB)
- Category III FSPs need to submit FAIS Notice 29 of 2015 (PDF, 852KB)
- Category IV FSPs need to submit FAIS Notice 30 of 2015 (PDF, 640KB)
- Foreign FSPs need to submit FAIS Notice 31 of 2015 (PDF, 519KB)
- Category I FSP without a compliance officer need to submit FAIS Notice 32 of 2015 (PDF, 506KB)
- FSPs changing compliance officers (CO handover report) need to submit FAIS Notice 33 of 2015 (PDF, 404KB)
- FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit FAIS Notice 34 of 2015 (PDF, 345KB)
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2014 compliance reports were published on 29 May 2014. For the 2014 reporting year there are 8 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2014 | 28 February 2015 |
| Category I FSP with a Compliance Officer | 31 May 2014 | 15 August 2014 |
| Category II and IIA FSPs (Bi-Annual Report) | 30 June 2014 & 31 December 2014 | 31 August 2014 & 28 February 2015 |
| Category III FSP (Bi-Annual Report) | 30 June 2014 & 31 December 2014 | 31 July 2014 & 31 January 2015 |
| Category IV FSP | 31 August 2014 | 31 October 2014 |
| Foreign FSP | 31 August 2014 | 31 October 2014 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I without a compliance officer need to submit FAIS Notice 33 of 2014 (PDF, 496KB)
- Category I with a compliance officer need to submit FAIS Notice 28 of 2014 (PDF, 679KB)
- Category II and IIA FSPs need to submit FAIS Notice 29 of 2014 (PDF, 942KB)
- Category III FSPs need to submit FAIS Notice 30 of 2014 (PDF, 842KB)
- Category IV FSPs need to submit FAIS Notice 31 of 2014 (PDF, 629KB)
- Foreign FSPs need to submit FAIS Notice 32 of 2014 (PDF, 509KB)
- FSPs changing compliance officers (CO handover report) need to submit FAIS Notice 34 of 2014 (PDF, 393KB)
- FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit FAIS Notice 35 of 2014 (PDF, 335KB)
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2013 compliance reports were published on 29 May 2013. For the 2013 reporting year there are 8 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2013 | 28 February 2014 |
| Category I FSP with a Compliance Officer | 31 May 2013 | 15 August 2013 |
| Category II and IIA FSPs (Bi-Annual Report) | 30 June 2013 & 31 December 2013 | 31 August 2013 & 28 February 2014 |
| Category III FSP (Bi-Annual Report) | 30 June 2013 & 31 December 2013 | 31 July 2013 & 31 January 2014 |
| Category IV FSP | 31 August 2013 | 31 October 2013 |
| Foreign FSP | 31 August 2013 | 31 October 2013 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I without a compliance officer need to submit Board Notice 105 of 2013 (PDF, 3MB)
- Category I with a compliance officer need to submit Board Notice 106 of 2013 (PDF, 4MB)
- Category II and IIA FSPs need to submit Board Notice 107 of 2013 (PDF, 5MB)
- Category III FSPs need to submit Board Notice 108 of 2013 (PDF, 5MB)
- Category IV FSPs need to submit Board Notice 109 of 2013 (PDF, 4MB)
- Foreign FSPs need to submit Board Notice 110 of 2013 (PDF, 2MB)
- FSPs changing compliance officers (CO handover report) need to submit Board Notice 111 of 2013 (PDF, 2MB)
- FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit Board Notice 112 of 2013 (PDF, 1MB)
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2012 compliance reports were published on 25 May 2012. For the 2012 reporting year there are 8 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2012 | 28 February 2013 |
| Category I FSP with a Compliance Officer | 31 May 2012 | 15 August 2012 |
| Category II and IIA FSPs (Bi-Annual Report) | 30 June 2012 & 31 December 2012 | 31 August 2012 & 28 February 2013 |
| Category III FSP (Bi-Annual Report) | 30 June 2012 & 31 December 2012 | 31 July 2012 & 31 January 2013 |
| Category IV FSP | 31 August 2012 | 31 October 2012 |
| Foreign FSP | 31 August 2012 | 31 October 2012 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I without a compliance officer need to submit Notice BN88 of 2012 (PDF, 3MB)
- Category I with a compliance officer need to submit Notice BN89 of 2012 (PDF, 5MB)
- Category II and IIA FSPs need to submit Notice BN90 of 2012 (PDF, 6MB)
- Category III FSPs need to submit Notice BN91 of 2012 (PDF, 5MB)
- Category IV FSPs need to submit Notice BN92 of 2012 (PDF, 4MB)
- Foreign FSPs need to submit Notice BN93 of 2012 (PDF, 2MB)
- FSPs changing compliance officers (CO handover report) need to submit Notice BN94 of 2012 (PDF, 2MB)
- FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit Notice BN95 of 2012 (PDF, 2MB)
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2011 compliance reports were published on 16 May 2011. For the 2011 reporting year there are 10 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2011 | 28 February 2012 |
| Category I FSP with a Compliance Officer | 31 May 2011 | 15 August 2011 |
| Category II FSP | 31 August 2011 | 30 November 2011 |
| Category IIA FSP (Annual Report) | 31 May 2011 | 30 June 2011 |
| Category IIA FSP (Interim Report) | 31 August 2011, 30 November 2011 & 28 February 2012 | 31 September 2011, 31 January 2012 & 30 March 2012 |
| Category III FSP (Bi-Annual Report) | 30 June 2011 & 31 December 2011 | 31 July 2011 & 31 January 2012 |
| Category IV FSP | 31 August 2011 | 30 November 2011 |
| Foreign FSP | 31 August 2011 | 30 November 2011 |
| Compliance Officer Handover Report | One month after FSP informed of resignation | |
| Key Individual / Sole Proprietor Handover Report | One month after compliance officer appointed |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I without a compliance officer need to submit Board Notice 84 of 2011 (PDF, 2MB)
- Category I with a compliance officer need to submit Board Notice 85 of 2011 (PDF, 2MB)
- Category IIA FSPs need to submit Board Notice 86 of 2011 (PDF, 4MB)
- Interim Category IIA need to submit Board Notice 87 of 2011 (PDF, 868KB)
- Category II and forex FSPs need to submit Board Notice 88 of 2011 (PDF, 3MB)
- Category III FSPs need to submit Board Notice 89 of 2011 (PDF, 3MB)
- Category IV FSPs need to submit Board Notice 90 of 2011 (PDF, 2MB)
- Foreign FSPs need to submit Board Notice 91 of 2011 (PDF, 1MB)
- FSPs changing compliance officers (CO handover report) need to submit Board Notice 92 of 2011 (PDF, 1MB)
- FSPs without a compliance officer who have appointed a compliance officer (KI / Sole Proprietor handover report) need to submit Board Notice 93 of 2011 (PDF, 1MB)
- Change in Submission date for the annual compliance report for the Category II, IV and Foreign FSPs was amended under Board Notice 165 of 2011 (PDF, 105KB)
Should you experience any problems you need to obtain a copy of the report from the Government Printers at the following telephone numbers: (012) 334 4508, 334 4509 or 334 4510.
SUBMIT THE REPORT 3 WEEKS IN ADVANCE TO ENSURE THAT YOU CAN MAKE ANY CHANGES WHERE REQUIRED.
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2010 compliance reports were published on 31 May 2009. For 2010 reporting year there will be 10 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date |
|---|---|---|
| Category I FSP without a Compliance Office | 31 December 2010 | 28 February 2011 |
| Category I FSP with a Compliance Officer | 31 May 2010 | 15 August 2010 |
| Category II and Forex Authorised FSPs | 31 August 2010 | 31 October 2010 |
| Category IIA FSP (Annual Report) | 31 May 2010 | 30 June 2010 |
| Category IIA FSPs (Interim Report) | 31 August 2010, 30 November 2010 & 28 February 2011 | 31 September 2010, 31 December 2010 & 30 March 2011 |
| Category III FSPs (Annual) | 30 June 2010 | 31 July 2010 |
| Category III FSPs (Interim Report) | 31 December 2010 | 31 January 2011 |
| Category IV FSP | 31 August 2010 | 31 October 2010 |
| Foreign FSP | 31 August 2010 | 31 October 2010 |
| Handover Report | One month after FSP informed of resignation |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I without a compliance officer need to submit Board Notice 76 of 2010 (PDF, 2MB)
- Category I with a compliance officer need to submit Board Notice 77 of 2010 (PDF, 2MB)
- Category IIA FSPs need to submit Board Notice 78 of 2010 (PDF, 4MB)
- Interim Category IIA need to submit Board Notice 79 of 2010 (PDF, 1MB)
- Category II and forex FSPs need to submit Board Notice 80 of 2010 (PDF, 3MB)
- Category III FSPs need to submit Board Notice 81 of 2010 (PDF, 3MB)
- Category III FSPs need to submit Board Notice 81 of 2010 (PDF, 3MB)
- Interim Category III FSPs need to submit Board Notice 82 of 2010
- Category IV FSPs need to submit Board Notice 83 of 2010 (PDF, 2MB)
- FSPs changing compliance officers (handover report) need to submit Board Notice 85 of 2010 (PDF, 1MB)
Should you experience any problems you need to obtain a copy of the report from the Government Printers at the following telephone numbers: (012) 334 4508, 334 4509 or 334 4510.
SUBMIT THE REPORT 3 WEEKS IN ADVANCE TO ENSURE THAT YOU CAN MAKE ANY CHANGES WHERE REQUIRED.
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2009 compliance reports were published on 17 April 2009. The reporting dates for 2009 will remain the same as the 2008 reporting year. For 2009 reporting year there will be 5 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date | Board Notice |
|---|---|---|---|
| Category I with Compliance Officer | 31 May 2009 | 15 August 2009 | BN 47 of 2009 |
| Category II IIA and Forex Authorised FSPs | 31 August 2009 | 31 October 2009 | BN 48 of 2009 |
| Category III | 31 August 2009 | 31 October 2009 | BN 49 of 2009 |
| Category IV | 31 August 2009 | 31 October 2009 | BN 50 of 2009 |
| Foreign FSPs | 31 August 2009 | 31 October 2009 | BN 124 of 2009 |
| Category I without Compliance Officer | 31 December 2009 | 28 February 2010 | BN 46 of 2009 |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category I FSPs without a compliance officer need to submit Board Notice 46 of 2009 (PDF, 6MB)
- Category I FSPs with a compliance officer need to submit Board Notice 47 of 2009 (PDF, 6MB)
- Categories II, IIA and Forex Authorised FSPs need to submit Board Notice 48 of 2009 (PDF, 11MB)
- Category III FSP's need to submit Board Notice 49 of 2009 (PDF, 9MB)
- Category IV FSP's need to submit Board Notice 50 of 2009 (PDF, 4MB)
- Authorised Foreign FSPs need to submit Board Notice 124 of 2009 (PDF, 1MB)
- Handover Compliance Report for FSPs changing compliance officers Board Notice 122 of 2009 (PDF, 1MB)
Should you experience any problems you need to obtain a copy of the report from the Government Printers at the following telephone numbers: (012) 334 4508, 334 4509 or 334 4510.
SUBMIT THE REPORT 3 WEEKS IN ADVANCE TO ENSURE THAT YOU CAN MAKE ANY CHANGES WHERE REQUIRED.
NOTE: HARDCOPY REPORTS ARE ONLY ACCEPTED IF POSTED OR HAND DELIVERED.
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.
The 2008 compliance reports were published on 16 May 2008. After due consideration and consultation with the Advisory Committee a decision was taken by the Registrar to amend the reporting dates of the 2008 Compliance Reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
| Type of FSP | Reporting Date | Submission Date | Board Notice |
|---|---|---|---|
| Category I with Compliance Officer | 31 May 2008 | 15 August 2008 | BN 47 of 2008 |
| Category II | 31 August 2008 | 31 October 2008 | BN 44 of 2008 |
| Category III | 31 August 2008 | 31 October 2008 | BN 46 of 2008 |
| Category I without Compliance Officer | 31 December 2008 | 28 February 2009 | BN 45 of 2008 |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Category II FSPs need to submit Board Notice 44 of 2008 (PDF, 7MB)
- Category I FSPs without a compliance officer need to submit Board Notice 45 of 2008
- Category III FSPs need to submit Board Notice 46 of 2008 (PDF, 8MB)
- Category I FSPs with compliance officers need to submit Board Notice 47 of 2008 (PDF, 7MB)
The 2007 compliance report was published on 29 August 2007 as Board Notice 90 of 2007. Financial services providers must submitted their compliance report within 2 months after the providers reporting date.
Refer to Table A below for applicable reporting dates. No extension will be granted for compliance reports.
Table A
| Provider's Financial year-end | Reporting Date |
|---|---|
| 31 January 2007 | 31 August 2007 |
| 28 February 2007 | 31 August 2007 |
| 31 March 2007 | 30 September 2007 |
| 30 April 2007 | 31 October 2007 |
| 31 May 2007 | 30 November 2007 |
| 30 June 2007 | 31 December 2007 |
| 31 July 2007 | 31 December 2007 |
| 31 August 2007 | 31 December 2007 |
| 30 September 2007 | 31 December 2007 |
| 31 October 2007 | 31 December 2007 |
| 30 November 2007 | 31 December 2007 |
| 31 December 2007 | 31 December 2007 |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- Schedule A compliance report to be completed for FSPs with compliance officer (PDF, 13MB)
- Schedule B compliance report to be completed for FSPs without a compliance officer (PDF, 8MB)
The 2006 compliance report was published on 11 August 2006 as Board Notice 84 of 2006. Financial services providers must submitted their compliance report 2 months after the providers reporting date.
Refer to Table A below for applicable reporting dates. No extension will be granted for compliance reports.
Table A
| Provider's Financial year-end | Reporting Date |
|---|---|
| 31 January 2006 | 31 August 2006 |
| 28 February 2006 | 31 August 2006 |
| 31 March 2006 | 30 September 2006 |
| 30 April 2006 | 31 October 2006 |
| 31 May 2006 | 30 November 2006 |
| 30 June 2006 | 31 December 2006 |
| 31 July 2006 | 31 December 2006 |
| 31 August 2006 | 31 December 2006 |
| 30 September 2006 | 31 December 2006 |
| 31 October 2006 | 31 December 2006 |
| 30 November 2006 | 31 December 2006 |
| 31 December 2006 | 31 December 2006 |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address faiscomp1@fsca.co.za
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to faiscomp1@fsca.co.za for the e-mail address to be updated.
Contact the FSCA Call Centre on 0800 110 443 for further assistance.
HARDCOPY SUBMISSIONS
A copy of the report is available in .pdf format only. Click here on the relevant report to open the pdf format:
- NOTICE 39 OF 2005 (PDF, 1MB)
The 2005 compliance report was published on 8 April 2005 as Board Notice 39 of 2005. Compliance report must be submitted 2 months after the providers reporting date.
Refer to Table A below for applicable reporting dates. No extension will be granted for compliance reports.
Table A
| Provider's Financial year-end | Reporting Date |
|---|---|
| 31 January 2005 | 31 August 2005 |
| 28 February 2005 | 31 August 2005 |
| 31 March 2005 | 30 September 2005 |
| 30 April 2005 | 31 October 2005 |
| 31 May 2005 | 30 November 2005 |
| 30 June 2005 | 31 December 2005 |
| 31 July 2005 | 31 December 2005 |
| 31 August 2005 | 31 December 2005 |
| 30 September 2005 | 31 December 2005 |
| 31 October 2005 | 31 December 2005 |
| 30 November 2005 | 31 December 2005 |
| 31 December 2005 | 31 December 2005 |
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.
ONLINE SUBMISSIONS (PREFERRED METHOD)
The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before, please use your ID number and the password you used previously. If you are not registered for the program please click here
Click here to download the Compliance Software User Guide (PDF, 2MB)