RE5 Topic 4 Quiz 1
RE5 Topic 4 Quiz 1
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Question 1 of 5
1. Question
Tri Brokers (Pty) Ltd applies for authorisation as a Category I FSP. The sole director is appointed as key individual and is the only person to provide a financial service within the FSP. The FSP is not to receive any client monies. Which of the following must accompany the FSP application?
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Question 2 of 5
2. Question
Which one of the following statements regarding the compliance function is correct?
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Question 3 of 5
3. Question
Which one of the following statements with regard to record keeping as stipulated in the FAIS Act is correct?
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Question 4 of 5
4. Question
Which of the following statements regarding suspension, withdrawal and lapsing of a license is correct?
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Question 5 of 5
5. Question
An FSP has received the maximum penalty of R10 million from the Authority. Which one of the following transgressing could have given rise to receiving this maximum penalty?
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