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Regulatory Exams

There has been a lot of discussion relating to the Regulatory Exams that must be written by all financial services providers by June 2012.

Click here for a short summary of the requirements and details of the exams that must be written by each Key Individual and Representative.

New Products

Guide to the 2011 Compliance Report for Category I Providers with a Compliance Officer
Risk Management - Guide to Essential Procedures
Risk Management Procedures Manual

Click here to Read More.

New Board Notices

The 2010 Compliance Reports have been added to our list.
Board Notice 74 of 2009 - Levies on Financial Institutions
Our Comments on Board Notice 74 of 2009
Board Notice 37 of 2009 - Notice on Requirements for Professional Indemnity and Fidelity Insurance Cover for Providers, 2009

Please click the link below to view all Board Notices and to download your copy of the 2009 Category I Compliance Report

Click here to view all Board Notices.

Newsletter Signup

These are delivered infrequently and only when something important needs to be communicated . . .

Click here to signup for the newsletter.

Order your selection of products

You may order a single publication at the price indicated or a combination of publications for a discounted price.

Step 1	Select the Guide or Guides that you would like to order from the list below by ticking the appropriate checkbox

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Step 3	Select your preferred method of payment. If you would like to pay by Electronic Funds Transfer, please select that option. You will be taken to a page where full details of our bank account are given and details of your order are displayed. You will also receive a VAT Invoice that will be emailed to you. The email will also provide full details of the bank account. If you would like to pay by Credit Card, please select this option and you will be taken to a secure page where your details can be safely provided. You will receive an email with the Guide you ordered immediately payment has been affected.

Step 4	Please indicate that you have agreed to the copyright terms and conditions below and click "Next".

Products:

Individual Products	Price	Select

Guide to Required Procedures	R 220.00
Risk Management Procedures Manual	R 220.00
Guide to the 2011 Compliance Report (Compliance Officers - Cat 1)	R 250.00
Guide to the 2010 Compliance Report (Cat 1 - Without Compliance Officer)	R 250.00

Bundles

All Three Publications (Compliance Officers - Cat 1) Save R240.00 Guide to Required Procedures Risk Management Procedures Manual Guide to Guide to the 2011 Compliance Report	R 450.00
All Three Publications (Cat 1 - Without Compliance Officer) Save R240.00 Guide to Required Procedures Risk Management Procedures Manual Guide to the 2010 Compliance Report	R 450.00
Companion Publications Save R90.00 Guide to Required Procedures Risk Management Procedures Manual	R 350.00

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All Material is protected by copyright. Before downloading this manual you must agree to the terms and conditions below.

This Explanatory Guide is copyright under the Berne Convention. In terms of the Copyright Act 98 of 1978, no part of this Explanatory Guide may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording or by information storage and retrieval system, without permission in writing from Compliance Monitoring Systems CC.

Although every care has been taken in the compilation of the material contained in this work (which includes the verbatim transcription of the texts of the Acts and Regulations as originally published, inclusive of typographical and suchlike errors), the authors, publishers and printers do not accept responsibility for any loss or damage that may be occasioned as a result of the reliance by any person on the information contained herein.

In particular, persons who may be affected by the terms of statutory provisions should have recourse to the relevant Gazettes as originally published.

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