Ongoing Responsibilities Mini Assignment
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Question 1 of 3
1. Question
2 point(s)Given that you are a newly appointed key individual for an FSP (Financial Services Provider): Describe the process and requirements to display the FSP license within the business premises.
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Question 2 of 3
2. Question
4 point(s)Imagine you are consulting with an FSP to ensure they meet the FAIS Act’s requirements: Detail the types of records an FSP must keep under the FAIS Act and the specific durations for which they should be retained.
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Question 3 of 3
3. Question
4 point(s)Describe the general record keeping requirements under the General Code of Conduct, highlighting the timeframes and modes of storage.
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