Requirements and responsibilities for Financial Services Providers




COB Category: All Classes of Business

Accreditation validity: 1 September 2020 to 31 August 2020

CPD Points allocated: 3.0 hours | points on completion and pass of assessment

FPI approval number: FPI20080211

Overview: The course considers the requirements imposed on a Financial Services Provider by the Financial Advisory and Intermediary Services (FAIS) Act to obtain and maintain their authorisation to provide financial services as a regular feature of business. Furthermore, the enforcement action that can be taken against a Financial Service Provider for non-compliance with the Financial Advisory and Intermediary Services (FAIS) Act is also considered.


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