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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.

Course accreditation

CPD Category: Online program

COB Category: All Classes of Business

Financial planning component: Ethics & Practice Standards

Advice component: Ethics, Standards & Compliance

Accreditation validity: 30 September 2022

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

FPI approval number: FPI20080211