Transcription of RE 1 - First Level Regulatory Examination - …
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RE 1 - First Level Regulatory Examination - …
COMPLIANCE MONITORING SYSTEMS CCRE 1: First Level Regulatory Examination : applicants And/Or Key Individuals In Category I, II, IIA and III Alan Holton December 2009 The First Level Regulatory Examination will be developed taking into account that applicants and key individuals are required to understand the FAIS Act, the FIC Act, and the subordinate legislation to the FAIS Act that applies to the category or subcategory for which they are authorised, approved or appointed Page 2 of 13 RE 1 First Level Regulatory Examination applicants AND/OR KEY INDIVIDUALS IN CATEGORY I, II, IIA AND III (1) The First Level Regulatory Examination will be developed taking into account that applicants and key individuals are required to understand the FAIS Act, the FIC Act, and the subordinate legislation to the FAIS Act that applies to the category or subcategory they are authorised, approved or appointed for; (2) applicants and key individuals are required to complete a Regulatory Examination that addresses the legal obligation and liabilities that they are accountable for in terms of the FAIS Act; (3) This legislative based Examination will be known as the First Level Regulatory Examination ; (4) The qualifying criteria listed here will be used by the Examination bodies to set the First Level Regulatory Examination , and serve as the criteria against which qualifications will be evaluated for inclusion on the list of recognised qualifications; ()
Page 2 of 13 RE 1 ‐ FIRST LEVEL REGULATORY EXAMINATION ‐ APPLICANTS AND/OR KEY INDIVIDUALS IN CATEGORY I, II, IIA AND III (1) The first level regulatory examination will be developed taking into account that applicants and key individuals are required to understand the FAIS Act, the FIC Act, and the subordinate legislation to the
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