RE5 Topic 1 Quiz 2
RE5 Topic 1 Quiz 2
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Question 1 of 5
1. Question
Which one of the following actions is not considered as advise under the FAIS Act?
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Question 2 of 5
2. Question
Capital Legacy plans to provide a discretionary financial service. In which ONE of the following main categories must Capital Legacy be authorised?
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Question 3 of 5
3. Question
The Commissioner is the natural person that has been appointed in terms of the Financial Sector Regulation Act to regulate the conduct of product suppliers and FSP’s. Which of the following constitutes duties of the commissioner?
i). Maintaining the integrity of the financial services industry
ii). Collection of levies due by financial services providers.
iii). Ensuring that representatives meet the fit and proper requirements.
iv). Taking enforcement action against those FSP who does not adhere to the FAIS Act.
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Question 4 of 5
4. Question
Which functions are performed by the Compliance Officer? Please state the incorrect option.
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Question 5 of 5
5. Question
The commissioner has withdrawn the license of Legion Brokers. Legion Brokers is aggrieved by this decision. To whom can the matter be referred for possible resolution?
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