Tobacco Products Control Act, 1993
R 385
Financial Advisory and Intermediary Services Act 2002 (Act No. 37 of 2002)DeterminationsAmendment of the Determination of Fit and Proper Requirements, 2020Chapter 3 : Competence RequirementsPart 4 : Regulatory examinations26. Regulatory examination requirements |
| (1) | A Category I FSP, its key individuals and representatives must successfully pass the applicable regulatory examination listed in Column A of Table A. |
| (2) | A Category II FSP, its key individuals and representatives must successfully pass the applicable regulatory examination listed in Column B of Table A. |
| (3) | A Category IIA FSP, its key individuals and representatives must successfully pass applicable the regulatory examination listed in Column C of Table A. |
| (4) | A Category III FSP, its key individuals and representatives must successfully pass the applicable regulatory examination listed in Column D of Table A. |
| (5) | A Category IV FSP, its key individuals and representatives must successfully pass the applicable regulatory examination listed in Column E of Table A. |
| (6) | An FSP, a key individual and a representative must successfully pass the applicable regulatory examinations before that person’s authorisation, approval or appointment. |
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TABLE A |
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|
Column A (Category I) |
Column B (Category II) |
Column C (Category IIA) |
Column D (Category III) |
Column E (Category IV) |
|
FSP |
RE 1 |
RE 1; and RE 3 |
RE 1; and RE 3 |
RE 1; and RE 4 |
RE 1 |
|
Key Individual |
RE 1 |
RE 1; and RE 3 |
RE 1; and RE 3 |
RE 1; and RE 4; |
RE 1 |
|
Representative |
RE 5 |
RE 5 |
RE 5 |
RE 5 |
RE 5 |
