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Unit Standard No.12164Page 3

THE FINANCIAL ADVISORY AND INTERMEDIARY SERVICES ACT

This series consists of six modules:

Module 1 – Introduction

This module looks at the NQF, Skills Development terminology, the concept of outcomes based education, and the unit standard upon which this material is based.

Module 2 – FAIS in context

This module places the legislation in context in relation to other pieces of legislation.

Module3: The purpose of FAIS

This workshop will examine the reason for the introduction of the FAIS legislation.

Module 4: How the authorisation process works

This module will explore the authorisation process to be followed by a Financial Services Provider.     

Module 5: The application of disclosure and conduct requirements in a selected sub sector

This module will focus on the requirements of disclosure and conduct and its application thereof within a selected sub-sector.

Module 6: Mechanisms for enforcement and implications and 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.

It also looks at the different rights of recourse that clients have under the FAIS legislation.

INSMAT final materials31/10/03

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