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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?
Which one of the following statements regarding the compliance function is correct?
Which one of the following statements with regard to record keeping as stipulated in the FAIS Act is correct?
Which of the following statements regarding suspension, withdrawal and lapsing of a license is correct?
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?
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.