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Which one of the following actions is not considered as advise under the FAIS Act?
Capital Legacy plans to provide a discretionary financial service. In which ONE of the following main categories must Capital Legacy be authorised?
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.
Which functions are performed by the Compliance Officer? Please state the incorrect option.
The commissioner has withdrawn the license of Legion Brokers.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?
The REready! Pack is designed to be used to prep for RE1 or RE5 or both.
The content for RE1 and RE5 overlaps as both exams test your practical knowledge of the FAIS Act and FICA.
The class is not a facilitator that is going to read the law out of a book for you.
Anna Bouhail contextualizes the content and creates an understanding of basic concepts related to law, the industry, and competency exams.
The class is structured to also instill compliance skills allowing the learner to answer practical questions.