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Unit Standard No.12164Page 81

……………………………………………………………………………………….

(full names/business names).

3.2 Every such representative complied, during the report period with the requirements of section 13(1)(b)(i) of the Act;

or

The following representatives, without / with an exemption having been granted under the Act, in the following cases did not so comply and, in the first mentioned case, for the following reasons:

…………………………………………………………………………………………………

3.3 The FSP, during the report period, complied with and otherwise acted in compliance with the requirements of section 13(2) of the Act in respect of representatives;

or

the FSP in the following cases, without / with an exemption having been granted under the Act, did not so comply / did not act in compliance with such requirements and, in a non exempted case, for the following reasons:

………….……………………………………………………………

3.4 The FSP, during the report period, complied with the provisions of subsections (3) and (4) of section 13 of the Act in respect of a register of representatives;

or

the FSP in the following cases, without / with an exemption having been granted under the Act, did not so comply and, in the first mentioned case, for the following reasons:

………….………………………………………………………………………………………

3.5 The FSP and every representative involved, during the report period, complied with all the provisions of sections 13 and 14 of the Act;

or

the FSP or a representative involved in the following cases, without / with an exemption having been granted under the Act, did not so comply and, in the first mentioned case, for the following reasons:

………….………………………….……………………………………………………………

, in the first mentioned case, for the following reasons:

………….…………….………………………………………………………………

5. Maintenance of records

The FSP, during the report period, complied with all the provisions of section 18 of the Act, of regulations made under the Act, and of any applicable Code of Conduct, in respect of the maintenance by the FSP, any representative or compliance officer, of records;

or

the FSP in the following cases , without / with an exemption having been granted under the Act, did not so comply and, in the first mentioned case, for the following reasons:

………….………………………………………………………………………………

Completed By:

Signed

Date

Assessed BY

:

Signed

Date

Moderated By

Signed

Date

Comments

INSMAT final materials31/10/03

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