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Financial Advisory and Intermediary Services Act, 2002 (Act No. 37 of 2002)

Application by Financial Services Providers for Authorisation by The Financial Services Board

 

 

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.