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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: 1 August 2022 to 31 July 2023

CPD Hours Allocated: 3.0 hours on completion and pass of assessment

Approval Number: EVT-20220731-0005