RE 5 Topic 8 Quiz 2

When is a an FSP required under the Code of Conduct to provide information pertaining to the past investment performance?

Please complete the sentence. Under the FAIS Act, a Category IIA FSP that does not hold or receive client’s assets must hold-

Which one of the following statements best describes immaterial financial interest as prescribed under the General Code of Conduct?

Which of the following disclosures must be made by an FSP with regard to the product supplier?

i).Whether the FSP holds more than 10% of the product supplier’s shares.

ii).Whether the FSP holds more than 30% of the product supplier’s shares.

iii).If the FSP received more than 10% of total remuneration from the product supplier during the last 12 months.

iv).If the FSP received more than 30% of total remuneration from the product supplier during the last 12 months.

Which of the following does not need to be included in the disclosures to be provided to clients as per the Code of Conduct with regard to financial products that is an investment or have an investment component?