CPD The Powers of the Financial Sector Conduct Authority 21_22


CPD Category: Online program

COB Category: All Classes of Business

Financial planning component: Ethics & Practice Standards

Advice component: Ethics, Standards & Compliance

Accreditation valid until: October 8, 2022

CPD Points allocated: 1.0 hours | points on completion and pass of assessment

FPI approval number: EVT-20210928-0035

Course overview: This text considers the powers of the Financial Sector Conduct Authority in terms of administration of the Financial Advisory and Intermediary Services (FAIS) Act, including enforcement action and other measures that may be taken to maintain the integrity of the financial services industry.

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Time allotted for course

The course consists of 3 topics with an assessment that needs to be completed. The time allotted for each aspect is as follows:

Topic number Title Word count Level Time allotted
Topic 1 Overview of the Financial Sector Conduct Authority 2 634 Entry 25 minutes
Topic 2 Rights of the Financial Sector Conduct Authority 1 999 Entry 15 minutes
Topic 3 Enforcement Action 2 318 Entry 20 minutes
Assessment 0 minutes


    Total time 1.0


Assessment and certification

After completion of the workshop the learner must complete an electronic assessment on the learning management system.

  • Form of assessment: Multiple Choice Questions
  • Number of questions: 10 questions
  • Duration: 30 minutes
  • Competency mark: 60%

Upon obtaining a competency mark of 60% the learning will receive a certificate of completion. The learner will be afforded an opportunity to re-do the workshop should a competency mark not be attained.