Statistics Act, 1999
R 385
Financial Advisory and Intermediary Services Act, 2002 (Act No. 37 of 2002)Board NoticesApplication by Financial Services Providers for Authorisation by The Financial Services BoardBoard Notice 60 of 2009 |
Board Notice 60 of 2009
Financial Services Board
I, DUBE PHINEAS TSHIDI, the Registrar of Financial Services Providers, hereby under section 8(1) of the Financial Advisory and Intermediary Services Act, 2002 (Act No. 37 of 2002), determine that any application for authorisation as a financial services provider under the said section made after the date on which this notice is published must be submitted in writing in the format set out in the schedule.
This notice replaces Board Notice 98 of 2003 published in Government Gazette 25523 of 3 October 2003.
D P Tshidi
Registrar of Financial Services Providers
Index of Forms
|
Form Number |
Description |
|
FSP 1 |
Business Information of Financial Services Provider |
|
FSP 2 |
Licence categories |
|
FSP 3 |
Directors, officers and applicable shareholders |
|
FSP 4 |
Key individuals / Applicant Sole proprietor |
|
FSP 5 |
Representatives |
|
FSP 6 |
Compliance officer of FSP |
|
FSP 7 |
Operational ability |
|
FSP 8 |
Financial soundness |
|
FSP 9 |
External auditor |
|
FSP10 |
Nominee company or independent custodian of discretionary or administrative FSP |
|
FSP 11 |
Clearing firm or foreign forex services provider of forex services provider |
|
FSP12 |
Application for specific exemptions |
|
FSP13 |
Application for the approval of a compliance officer (separate form) |
|
FSP14A |
Attachments, list of all completed forms and declarations |
|
FSP 14B |
Calculation of application fee if applying directly to the FSB |
|
FSP 15 |
Hedge fund Application form |
The following forms can be found in Government Gazette No. 32227 dated 15 May 2009.
