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Unit Standard No.12164Page 136

FAIS

Module 5

Mechanisms for enforcement & implications / Rights of recourse available to aggrieved clients.

This module provides a practical look at the mechanisms available for enforcement and looks at the implications for both the intermediary as well as the industry.

Outcomes for Module 5:

Learners will

Demonstrate an understanding of the role and functions of the Registrar as envisaged in the legislation.

Examine and reflect on role and functions of the FAIS Ombud as envisaged in the legislation.

Demonstrates an understanding of the consequences of non compliance, with reference to steps that the Registrar could take in cases of non compliance.

INSMAT final materials31/10/03

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