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

Notice on Amendment of Exemptions

 

 

Board Notice No. 176

4 November 2011

 

Financial Services Board

 

I, German Emmanuel Anderson, Deputy Registrar of Financial Services Providers, hereby under paragraph 4(a) of-

a) the Exemption of Banks in respect of Certain Clients, 2004;
b) the Exemption of Morgan Stanley and AMB Holdings in respect of Certain Clients, 2004;
c) the Exemption of UBS South Africa and Deutsche Securities in respect of Certain Clients, 2007;
d) the Exemption of First Africa and RMB Investments and Advisory in respect of Certain Clients, 2008;
e) the Exemption of Nomura International in respect of Certain Clients, 2009;
f) the Exemption of certain Merrill Lynch Entities in respect of Certain Clients, 2009;
g) the Exemption of Goldman Sachs International in respect of Certain Clients, 2009;
h) the Exemption of The Bank of New York Melon in respect of Certain Clients, 2010;
i) the Exemption of Marlow Advisors in respect of Certain Clients, 2010;
j) the Exemption of African Alliance Securities in respect of Certain Clients, 2010,
k) the Exemption of Allianz Global Investors Advisory and Allianz Global Investors Europe in respect of Certain Clients, 2011;
l) the Exemption of Raymond James & Associates and Raymond James Financial International in respect of Certain Clients, 2011;
m) the Exemption of Renaissance BJM Securities in respect of Certain Clients, 2011,

 

amend paragraph 3 of the abovementioned Exemptions by the substitution for the date "31 October 2011" of the date "31 May 2012".

 

This Notice is called the Notice on Amendment of Exemptions No. 2, 2011, and comes into operation on 1 November 2011.

 

 

G E Anderson

Deputy Registrar of Financial Services Providers