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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.

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Regulatory Exams Criteria

In order to download the documents, please "Right Click" on the download link and select "Save Target As"

FIRST REGULATORY EXAM

RE1 First Level Regulatory Examination: Key Individuals in Category I, II, IIA and III Download
RE2 First Level Regulatory Examination: Key Individuals in Category II and/or IIA Download
RE3 First Level Regulatory Examination: Key Individuals in Category III Download
RE4 First Level Regulatory Examination: Representatives Download

[You will need an Adobe Reader(R) version 5.0 or later to open these downloads. If you do not have Adobe Acrobat Reader, please visit http://www.adobe.com/products/acrobat/readstep2.html and download a Reader at no charge.]

  

SECOND REGULATORY EXAM

RE5 Second Level Regulatory Examination: Long Term Insurance Category A Download
RE6 Second Level Regulatory Examination: Short and Long Term Deposits Download
RE7 Second Level Regulatory Examination: Long Term Insurance Category B, Long Term Insurance Category C and Retail Pension Funds Download
RE8 Second Level Regulatory Examination: Participatory Interests in Collective Investment Schemes Download
RE9 Second Level Regulatory Examination: Securities and Instruments Download
RE10 Second Level Regulatory Examination: Short Term Insurance: Personal Lines Download
RE11 Second Level Regulatory Examination: Short Term Insurance: Commercial Lines Download
RE12 Second Level Regulatory Examination: Health Care Benefits Download
RE13 Second Level Regulatory Examination: Pension Benefit Funds Download
RE14 Second Level Regulatory Examination: Long Term Insurance Category A: FAB Download

[You will need an Adobe Reader(R) version 5.0 or later to open these downloads. If you do not have Adobe Acrobat Reader, please visit http://www.adobe.com/products/acrobat/readstep2.html and download a Reader at no charge.]
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 FAIS COMPLIANCE GUIDE 2011