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Unit Standard No.12164Page 86

THE AUTHORISATION

This is the regulatory body which issues the licence to be an authorised FSP

FINANCIAL SERVICES BOARD

FINANCIAL SERVICES PROVIDER

REPRESENTATIVES

EXTERNAL AUDITOR

RECOGNISED BODY

KEY INDIVIDUALS

COMPLIANCE OFFICER

These persons are not part of the licencing process and their details do not have to be submitted by the FSP

PROCESS

Details of KI go into the application to be an authorised FSP must be fit & proper

This is the body which applies to become an authorised FSP, either directly to the FSB or via a recognised body

Details of the Compliance Officer go into the application to be an authorised FSP

Details of the External Auditor go into the application to be an authorised FSP.

This is a body that applies to the FSB to become a recognised body to assist with the licencing of FSP’s.

TheFSPmustkeeparegisterofrepresentatives

INSMAT final materials31/10/03

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