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Unit Standard No.12164Page 49

Provides detail on fees payable to the Registrar of Financial Services Providers

6.

DETERMINATION OF FUNCTIONS TO BE PERFORMED BY RECOGNISED REPRESENTATIVE BODIES

Shows detail of functions to be performed by Recognised Bodies

7.

RULES ON PROCEEDINGS OF THE OFFICE OF THE OMBUD FOR FSP’S

Provides rules for the proceedings of the Office of the Ombud for Financial Services

8.

DETERMINATION OF COMPLIANCE REPORTS BY COMPLIANCE OFFICERS AND AUTHORISED FSP’S

Provides detail on the form and manner of Compliance reports

9.

DETERMINATION OF FIT AND PROPER REQUIREMENTS FOR FSP’S

Provides detail of the determination of Fit & Proper requirements for representatives.

10.

QUALIFICATIONS AND EXPERIENCE OF COMPLIANCE OFFICERS IN RESPECT OF FINANCIAL SERVICES BUSINESS

Provides guidelines for the criteria and approval of Compliance Officers

11.

DETERMINATION OF FORM AND MANNER OF REPORT OF EXTERNAL AUDITOR OF AUTHORISED FSP’S ON MONEY AND ASSETS HELD ON BEHALF OF CLIENTS

Provides guidance on the form and manner of reports by the External Auditor

12.

APPLICATIONS BY REPRESENTATIVE BODIES FOR RECOGNITION BY THE FINANCIAL SERVICES BOARD

Provides details of the application form to be completed by Representative Bodies who wish to become Recognised Bodies

13.

EXEMPTION OF FINANCIAL SERVICES PROVIDERS AS REGARDS REPRESENTATIVES

INSMAT final materials31/10/03

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