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.
CPD Category: Online program
COB Category: All Classes of Business
Financial planning component: Ethics & Practice Standards
Advice component: Ethics, Standards & Compliance
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