RE 1 and RE 5 Exam Training

Seminar Information

To successfully complete the Level 1 Regulatory Exams you will need to be thoroughly prepared. Masthead can assist you with your preparation to ensure that you are ready to tackle the exam with confidence.

Representatives are required to write the RE 5 exam, while Key Individuals must write the RE 1 exam.  This full day workshop will equip attendees with an in-depth knowledge and understanding and will cover the following areas:

  • An Introduction to the FAIS Act
  • The role of the Key Individual and Representative
  • Services under supervision
  • Implications of sections 8 and 13
  • Debarment
  • Regulatory environment in which the FSP functions
  • Obligations in the General Code of Conduct
  • Oversee and manage the compliance function
  • Maintenance and management of FSP licencing conditions
  • Lapsing an FSP licence
  • Recordkeeping obligations of the FSP
  • Manage the FSP infrastructure
  • Auditing and accounting requirements
  • Impact of FICA on the FSP
  • Role and power of the FAIS Ombud

CPD hours: 7
Cost for members: R 550,00 (incl VAT)
Cost for non-members: R 1 100,00 (incl VAT)


Who should attend

Key Individuals and Representatives who are required to write the Regulatory Examinations as prescribed by the Financial Services Board.

How will attendees benefit

You will be able to complete the RE 1 and RE 5 examinations and have a better understanding of what is required with regard to the FAIS Act.

What attendees had to say about this seminar

“Just want to thank you for the RE Training that you provided, you really assisted me being new to the Financial Services industry at the time, to understand the terminology better. I passed my RE 5 Rep Exam the 1st time.  Your training really assisted and made it a lot easier to study”

– Alet Venter | Para-Planner

MASTHEAD IS

A national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs). Established in 2004, we help our clients overcome their risk management challenges so they can grow and thrive in an increasingly regulated industry. Providing professional guidance and practical support, our team of specialists is passionately committed to delivering tangible solutions.

Why Masthead?

CONTACT US

Phone:

+27 21 686 3588

E-mail:

 info@masthead.co.za