Mandating Procedures of Provinces Act, 2008
R 385
Credit Rating Services Act, 2012 (Act No. 24 of 2012)Board NoticesBoard Notice 167 of 2013FormsForm 1 |
FINANCIAL SERVICES BOARD
APPLICATION FOR APPROVAL OF COMPLIANCE UNIT
Company name: .....................................................................................................................
1. Type of Compliance Unit, (tick applicable box)
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2. Compliance Officer
| (a) | Details of Compliance Officer; |
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Surname: |
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Names: |
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Identity Number: |
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Nationality: |
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Employed by: |
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Reports to and title: |
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(b) Business address where based:
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(c) Residential address of Compliance Officer or Head of Compliance:
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(d) Qualifications and name of Institution where obtained:
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(e) Experience, attach detailed curriculum vitae.
| (f) | An external compliance unit must submit to the registrar a plan evidencing its ability to regularly monitor the compliance of the registered credit rating agency as well as its ability to comply with the duties of a compliance officer as set out in section 16(3)(a) of the Act. |
