Regulatory Library

Industry legislation, notices, determinations and more

Latest documents

Protection of Personal Information Act 4 of 2013

POPI/Information Regulator - 15 November 2020

Conduct of Financial Institutions (COFI) Bill

COFI - 8 October 2020

COFI Response document (supporting the revised Conduct of Financial Institutions Bill September 2020)

COFI - 8 October 2020

Media Statement: Second Draft of Conduct of Financial Institutions Bill published for public comment

COFI - 29 September 2020

RE 1 and RE 5 Preparation Guide

Regulatory Exams - 18 August 2020

Draft Guidelines on the Registration of Information Officers

POPI/Information Regulator - 17 July 2020

RE 1 and RE 5 Prep Guide

Regulatory Exams - 26 June 2020

RE 4 Prep Guide

Regulatory Exams - 26 June 2020

RE 3 Prep Guide

Regulatory Exams - 26 June 2020

Amendment of the General Code of Conduct and the Amendment to the specific Code of Conduct for FSPs conducting Short-term Deposist Business, 2020

Codes of Conduct - 26 June 2020

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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.

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