South Africa
Financial Advisory and Intermediary Services Act, 2002
Act 37 of 2002
- Published in Government Gazette 24079 on 15 November 2002
- Assented to on 15 November 2002
- There are multiple commencements
- [This is the version of this document as it was from 15 November 2002 to 31 October 2008.]
Provisions | Status |
---|---|
Subpart Introductory provisions (section 1); Chapter 1 (section 2–6); Chapter II (section 7–12); Chapter III, section 13(1)(b), 13(2), 13(3), 13(4), 13(5), 13(6), section 14; Chapter IV (section 15–16); Chapter V (section 17–19); Chapter VI, Part I, section 32; Part II (section 33–39); Chapter VII (section 40–46) |
commenced on 15 November 2002
by Proclamation R81 of 2002.
Note: Date of commencement of whole Act, except sections 13(1)(a) and 20-31 |
Chapter VI, Part I, section 20–31 |
commenced on 8 March 2003
by Proclamation R21 of 2003.
Note: Date of commencement of sections 20–31 |
Chapter III, section 13(1)(a) |
commenced on 30 September 2004
by Proclamation 35 of 2004.
Note: Date of commencement of section 13(1)(a) |
Introductory provisions
1. Definitions and application
Chapter 1
Administration of Act
2. Registrar and deputy registrar of financial services providers
The executive officer and deputy executive officer of the Board are respectively the registrar and deputy registrar of financial services providers and have the powers and duties provided for by or under this Act or any other law.3. General provisions concerning registrar
4. Special provisions concerning powers of registrar
5. Advisory Committee on Financial Services Providers
6. Delegations and authorisations
Chapter II
Authorisation of financial services providers
7. Authorisation of financial services providers
8. Application for authorisation
9. Suspension of authorisation
10. Withdrawal of authorisation
11. Lapsing of licence
12. Exemptions in respect of product suppliers
Chapter III
Representatives of authorised financial services providers
13. Qualifications of representatives and duties of authorised financial services providers
14. Debarment of representatives
Chapter IV
Codes of conduct
15. Publication of codes of conduct
16. Principles of code of conduct
Chapter V
Duties of authorised financial services providers
17. Compliance officers and compliance arrangements
18. Maintenance of records
An authorised financial services provider must, except to the extent exempted by the registrar, maintain records for a minimum period of five years regarding—19. Accounting and audit requirements
Chapter VI
Enforcement
Part I – Ombud for Financial Services Providers
20. Office of Ombud for Financial Services Providers
21. Appointment of Ombud and deputy ombuds
22. Funding of Office
23. Accountability
24. General administrative powers of Ombud
The Ombud may for the performance of functions in the Office and as a charge against or for the benefit of the funds of the Office, as the case may be—25. Disestablishment and liquidation of Office
26. Powers of Board
27. Receipt of complaints, prescription, jurisdiction and investigation
28. Determinations by Ombud
29. Record-keeping
30. Report of Ombud
31. Penalties
Any person who—32. Promotion of client education by registrar
The registrar may take any steps conducive to client education and the promotion of awareness of the nature and availability of the Ombud and other enforcement measures established by or in terms of this Act, including arrangements with the Ombud, representative bodies of the financial services industry, client and consumer bodies, or product suppliers and authorised financial services providers and their representatives to assist in the disclosure of information to the general public on matters dealt with in this Act.Part II – Other enforcement measures
33. Civil remedies
34. Undesirable practices
35. Regulations
36. Offences and penalties
Any person who—37. Consideration of quantum of fines and penalties
38. Voluntary sequestration, winding-up and closure
No—39. Right of appeal
Any person who feels aggrieved by any decision by the registrar or the Ombud under this Act which affects that person, may appeal to the board of appeal established by section 26(1) of the Financial Services Board Act, in respect of which appeal the said section 26 applies with the necessary changes.Chapter VII
Miscellaneous
40. Saving of rights
No provision of this Act, and no act performed under or in terms of any such provision, may be construed as affecting any right of a client, or other affected person, to seek appropriate legal redress in terms of common law or any other statutory law, and whether relating to civil or criminal matters, in respect of the rendering of any financial service by an authorised financial services provider, or representative of such provider, or any act of a person who is not an authorised financial services provider or a representative of such a provider.41. Fees and penalties
42. Exchange of information
The registrar may disclose information obtained in the course of performing functions in terms of this Act, unless such disclosure will not be in the public interest, but subject to any guidelines issued by the Board to the registrar—43. Limitation of liability
The Minister, the Board or a member thereof, any officer or employee assisting the Board, the registrar, the Advisory Committee or any member thereof, the Ombud and any employee in the Office of the Ombud, or other body or person performing any function in terms of this Act, is not liable for any loss sustained by or damage caused to any person as a result of anything done or omitted by any of them in the bona fide exercise of any power or carrying out of any duty or performance of any function under or in terms of a provision of this Act.44. Exemptions by registrar and Minister
45. Exemptions, and amendment or repeal of laws
46. Commencement and short title
This Act is called the Financial Advisory and Intermediary Services Act, 2002, and comes into operation on a date fixed by the President by proclamation in the Gazette.History of this document
01 April 2023 amendment not yet applied
28 September 2018 amendment not yet applied
Amended by
Financial Sector Regulation Act, 2017
01 April 2018 amendment not yet applied
Amended by
Financial Sector Regulation Act, 2017
30 May 2014 amendment not yet applied
28 February 2014 amendment not yet applied
03 June 2013 amendment not yet applied
Amended by
Financial Markets Act, 2012
01 May 2009 amendment not yet applied
01 November 2008 amendment not yet applied
30 September 2004
Commenced by
Financial Advisory and Intermediary Services Act, 2002: Commencement
Note: Date of commencement of section 13(1)(a)
08 March 2003
Commenced by
Financial Advisory and Intermediary Services Act, 2002: Commencement
Note: Date of commencement of sections 20–31
15 November 2002 this version
Assented to
Commenced by
Financial Advisory and Intermediary Services Act, 2002: Commencement
Note: Date of commencement of whole Act, except sections 13(1)(a) and 20-31
Subsidiary legislation
Cited documents 13
Legislation 13
- Banks Act, 1990
- Commissions Act, 1947
- Constitution of the Republic of South Africa, 1996
- Financial Services Board Act, 1990
- Insolvency Act, 1936
- Long-term Insurance Act, 1998
- Medical Schemes Act, 1998
- Mutual Banks Act, 1993
- Pension Funds Act, 1956
- Prescription Act, 1969
- Safe Deposit of Securities Act, 1992
- Short-term Insurance Act, 1998
- Trust Property Control Act, 1988
Documents citing this one 290
Gazette 227
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- KwaZulu-Natal Provincial Gazette dated 2014-02-13 number 1093
- KwaZulu-Natal Provincial Gazette dated 2018-05-17 number 1953
- KwaZulu-Natal Provincial Gazette dated 2018-11-29 number 2024
- KwaZulu-Natal Provincial Gazette dated 2019-02-21 number 2048
- Northern Cape Provincial Gazette dated 2012-03-28 number 1584
- South Africa Government Gazette Legal Notices A dated 2012-11-23 number 35885
- South Africa Government Gazette Legal Notices A dated 2012-11-23 number 35885 part 1
- South Africa Government Gazette Legal Notices A dated 2021-06-04 number 44658 part 1
- South Africa Government Gazette Regulation Gazette dated 2002-11-15 number 24075
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- South Africa Government Gazette Regulation Gazette dated 2004-09-30 number 26853
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- South Africa Government Gazette Regulation Gazette dated 2009-05-29 number 32254
- South Africa Government Gazette Regulation Gazette dated 2011-12-23 number 34877
- South Africa Government Gazette Regulation Gazette dated 2012-12-12 number 35950 part 1
- South Africa Government Gazette Regulation Gazette dated 2013-11-20 number 37052
- South Africa Government Gazette Regulation Gazette dated 2015-02-25 number 38509
- South Africa Government Gazette Regulation Gazette dated 2015-03-24 number 38597
- South Africa Government Gazette Regulation Gazette dated 2018-02-09 number 41433 part 1
- South Africa Government Gazette dated 2002-12-13 number 24140
- South Africa Government Gazette dated 2003-02-12 number 24347 part 1
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- South Africa Government Gazette dated 2003-02-24 number 24648
- South Africa Government Gazette dated 2003-02-26 number 24654
- South Africa Government Gazette dated 2003-02-28 number 24661
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- South Africa Government Gazette dated 2003-11-06 number 25681
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- South Africa Government Gazette dated 2003-11-07 number 25685
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- South Africa Government Gazette dated 2003-11-14 number 25713
- South Africa Government Gazette dated 2003-11-14 number 25723
- South Africa Government Gazette dated 2003-12-05 number 25800
- South Africa Government Gazette dated 2003-12-05 number 25819
- South Africa Government Gazette dated 2004-01-23 number 25942
- South Africa Government Gazette dated 2004-03-30 number 26201
- South Africa Government Gazette dated 2004-04-07 number 26235
- South Africa Government Gazette dated 2004-05-20 number 26383
- South Africa Government Gazette dated 2004-06-04 number 26414
- South Africa Government Gazette dated 2004-06-25 number 26477
- South Africa Government Gazette dated 2004-07-02 number 26496
- South Africa Government Gazette dated 2004-08-02 number 26635
- South Africa Government Gazette dated 2004-08-06 number 26628
- South Africa Government Gazette dated 2004-08-18 number 26684
- South Africa Government Gazette dated 2004-08-24 number 26709
- South Africa Government Gazette dated 2004-09-23 number 26820
- South Africa Government Gazette dated 2004-09-27 number 26824
- South Africa Government Gazette dated 2004-09-29 number 26844
- South Africa Government Gazette dated 2004-11-02 number 26928 part 5
- South Africa Government Gazette dated 2004-12-03 number 27018
- South Africa Government Gazette dated 2004-12-17 number 27102
- South Africa Government Gazette dated 2004-12-30 number 27151
- South Africa Government Gazette dated 2005-01-10 number 27162
- South Africa Government Gazette dated 2005-01-24 number 27190
- South Africa Government Gazette dated 2005-02-09 number 27265
- South Africa Government Gazette dated 2005-03-02 number 27339
- South Africa Government Gazette dated 2005-04-08 number 27456
- South Africa Government Gazette dated 2005-04-08 number 27457
- South Africa Government Gazette dated 2005-04-22 number 27515
- South Africa Government Gazette dated 2005-04-29 number 27540
- South Africa Government Gazette dated 2005-05-30 number 27622
- South Africa Government Gazette dated 2005-06-10 number 27661
- South Africa Government Gazette dated 2005-06-21 number 27704
- South Africa Government Gazette dated 2005-06-22 number 27703
- South Africa Government Gazette dated 2005-07-08 number 27758
- South Africa Government Gazette dated 2005-07-08 number 27764
- South Africa Government Gazette dated 2005-07-15 number 27773
- South Africa Government Gazette dated 2005-08-05 number 27860
- South Africa Government Gazette dated 2005-08-19 number 27911
- South Africa Government Gazette dated 2005-09-30 number 28089
- South Africa Government Gazette dated 2005-10-04 number 28101
- South Africa Government Gazette dated 2005-11-02 number 28192
- South Africa Government Gazette dated 2006-05-30 number 28892
- South Africa Government Gazette dated 2006-07-10 number 29003
- South Africa Government Gazette dated 2006-08-11 number 29109
- South Africa Government Gazette dated 2006-08-11 number 29119
- South Africa Government Gazette dated 2006-08-16 number 29132
- South Africa Government Gazette dated 2006-10-05 number 29274
- South Africa Government Gazette dated 2006-12-05 number 29425
- South Africa Government Gazette dated 2007-01-29 number 29567
- South Africa Government Gazette dated 2007-03-05 number 29684
- South Africa Government Gazette dated 2007-03-29 number 29737
- South Africa Government Gazette dated 2007-05-25 number 29911
- South Africa Government Gazette dated 2007-06-19 number 29997
- South Africa Government Gazette dated 2007-07-06 number 30058
- South Africa Government Gazette dated 2007-08-29 number 30228
- South Africa Government Gazette dated 2007-10-03 number 30349
- South Africa Government Gazette dated 2007-11-09 number 30442
- South Africa Government Gazette dated 2007-11-16 number 30473
- South Africa Government Gazette dated 2008-02-22 number 30810
- South Africa Government Gazette dated 2008-04-11 number 30947
- South Africa Government Gazette dated 2008-04-25 number 30987
- South Africa Government Gazette dated 2008-05-14 number 31054
- South Africa Government Gazette dated 2008-05-16 number 31055
- South Africa Government Gazette dated 2008-06-27 number 31185
- South Africa Government Gazette dated 2008-07-02 number 31206
- South Africa Government Gazette dated 2008-07-14 number 31244
- South Africa Government Gazette dated 2008-08-01 number 31293
- South Africa Government Gazette dated 2008-09-03 number 31384
- South Africa Government Gazette dated 2008-09-30 number 31479
- South Africa Government Gazette dated 2008-12-29 number 31755
- South Africa Government Gazette dated 2009-03-25 number 32037
- South Africa Government Gazette dated 2009-05-15 number 32227
- South Africa Government Gazette dated 2009-05-29 number 32268
- South Africa Government Gazette dated 2009-06-18 number 32329
- South Africa Government Gazette dated 2009-08-17 number 32496
- South Africa Government Gazette dated 2009-09-21 number 32587
- South Africa Government Gazette dated 2009-09-28 number 32596
- South Africa Government Gazette dated 2009-12-28 number 32846
- South Africa Government Gazette dated 2010-03-26 number 33052
- South Africa Government Gazette dated 2010-04-19 number 33133
- South Africa Government Gazette dated 2010-05-12 number 33166
- South Africa Government Gazette dated 2010-05-28 number 33236
- South Africa Government Gazette dated 2010-06-25 number 33318
- South Africa Government Gazette dated 2010-07-19 number 33395
- South Africa Government Gazette dated 2010-08-05 number 33440
- South Africa Government Gazette dated 2010-09-09 number 33537
- South Africa Government Gazette dated 2010-11-04 number 33730
- South Africa Government Gazette dated 2010-11-09 number 33745
- South Africa Government Gazette dated 2010-11-10 number 33749
- South Africa Government Gazette dated 2010-12-01 number 33822
- South Africa Government Gazette dated 2010-12-02 number 33825
- South Africa Government Gazette dated 2010-12-13 number 33868
- South Africa Government Gazette dated 2011-04-20 number 34240
- South Africa Government Gazette dated 2011-05-27 number 34325
- South Africa Government Gazette dated 2011-08-05 number 2690
- South Africa Government Gazette dated 2011-10-03 number 34658
- South Africa Government Gazette dated 2011-10-19 number 34690
- South Africa Government Gazette dated 2011-10-19 number 34691
- South Africa Government Gazette dated 2011-11-04 number 34729
- South Africa Government Gazette dated 2011-11-28 number 34794
- South Africa Government Gazette dated 2011-12-06 number 34826
- South Africa Government Gazette dated 2012-02-01 number 34992
- South Africa Government Gazette dated 2012-04-10 number 35251
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- South Africa Government Gazette dated 2012-06-06 number 35422
- South Africa Government Gazette dated 2012-06-21 number 35459
- South Africa Government Gazette dated 2012-07-27 number 35544
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- South Africa Government Gazette dated 2012-08-15 number 35593
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- South Africa Government Gazette dated 2012-10-03 number 35743
- South Africa Government Gazette dated 2012-10-25 number 35820
- South Africa Government Gazette dated 2012-12-11 number 35977
- South Africa Government Gazette dated 2012-12-13 number 35997
- South Africa Government Gazette dated 2013-01-31 number 36113
- South Africa Government Gazette dated 2013-01-31 number 36114
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- South Africa Government Gazette dated 2013-02-27 number 36193
- South Africa Government Gazette dated 2013-04-02 number 36316
- South Africa Government Gazette dated 2013-04-23 number 36399
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- South Africa Government Gazette dated 2013-05-17 number 36464
- South Africa Government Gazette dated 2013-05-29 number 36501
- South Africa Government Gazette dated 2013-05-29 number 36502
- South Africa Government Gazette dated 2013-05-29 number 36503
- South Africa Government Gazette dated 2013-06-05 number 36530
- South Africa Government Gazette dated 2013-06-05 number 36531
- South Africa Government Gazette dated 2013-06-21 number 36588
- South Africa Government Gazette dated 2013-07-29 number 36706
- South Africa Government Gazette dated 2013-08-30 number 36800
- South Africa Government Gazette dated 2013-09-12 number 36842
- South Africa Government Gazette dated 2013-10-07 number 36910
- South Africa Government Gazette dated 2013-10-31 number 36984
- South Africa Government Gazette dated 2013-11-18 number 37044
- South Africa Government Gazette dated 2013-11-27 number 37073
- South Africa Government Gazette dated 2013-12-19 number 37164
- South Africa Government Gazette dated 2013-12-20 number 37168
- South Africa Government Gazette dated 2014-01-16 number 37237
- South Africa Government Gazette dated 2014-03-11 number 37429
- South Africa Government Gazette dated 2014-03-20 number 37451
- South Africa Government Gazette dated 2014-06-13 number 37734
- South Africa Government Gazette dated 2014-07-11 number 37805
- South Africa Government Gazette dated 2014-08-08 number 37895
- South Africa Government Gazette dated 2014-12-04 number 38278
- South Africa Government Gazette dated 2015-02-06 number 38441
- South Africa Government Gazette dated 2015-02-25 number 38508
- South Africa Government Gazette dated 2015-03-06 number 38540
- South Africa Government Gazette dated 2015-03-31 number 38665
- South Africa Government Gazette dated 2015-05-08 number 38768
- South Africa Government Gazette dated 2016-06-01 number 40032
- South Africa Government Gazette dated 2016-08-31 number 40239
- South Africa Government Gazette dated 2016-12-23 number 40515 part 1
- South Africa Government Gazette dated 2017-03-31 number 40757
- South Africa Government Gazette dated 2017-04-13 number 40785 part 1
- South Africa Government Gazette dated 2017-06-12 number 40912
- South Africa Government Gazette dated 2017-08-22 number 41060 part 1
- South Africa Government Gazette dated 2017-12-15 number 41321 part 1
- South Africa Government Gazette dated 2017-12-15 number 41329
- South Africa Government Gazette dated 2017-12-15 number 41334
- South Africa Government Gazette dated 2018-01-18 number 41388 part 1
- South Africa Government Gazette dated 2018-02-02 number 41419 part 1
- South Africa Government Gazette dated 2018-02-09 number 41432
- South Africa Government Gazette dated 2018-06-29 number 41738
- South Africa Government Gazette dated 2018-06-29 number 41746
- South Africa Government Gazette dated 2018-07-20 number 41781 part 1
- South Africa Government Gazette dated 2018-09-28 number 41947
- South Africa Government Gazette dated 2019-03-18 number 42314
- South Africa Government Gazette dated 2019-03-22 number 42323 part 1
- South Africa Government Gazette dated 2019-03-29 number 42359
- South Africa Government Gazette dated 2019-07-12 number 42579
- South Africa Government Gazette dated 2019-08-30 number 42669 part 1
- South Africa Government Gazette dated 2020-06-19 number 43447
- South Africa Government Gazette dated 2020-06-26 number 43474
- South Africa Government Gazette dated 2021-08-11 number 44979
- South Africa Government Gazette dated 2022-06-10 number 46543 part 1
- South Africa Government Gazette dated 2022-08-29 number 46834
- South Africa Government Gazette dated 2022-10-19 number 47334
- South Africa Government Gazette dated 2022-11-29 number 47596
- South Africa Government Gazette dated 2022-12-02 number 47632 part 1
Joint Guidance Notice 1
Judgment 34
- Absa Bank v Naidu and Others (DA 14/12) [2014] ZALAC 14 (24 October 2014)
- Associated Portfolio Solutions (Pty) Ltd and Another v Basson and Others (554/2019) [2020] ZASCA 64 (12 June 2020)
- Benecke and Others v Medbond Fund Managers (Pty) Ltd and Another (B1790/2023) [2023] ZAGPPHC 1190 (30 October 2023)
- Bester N.N.O. and Others v Mirror Trading International (Pty) Ltd and Others (15426/2021) [2023] ZAWCHC 38 (26 April 2023)
- Centriq Insurance Company Limited v Oosthuizen and Another (237/2018) [2019] ZASCA 11 (14 March 2019)
- Coetzee and Another v Financial Services Board (13530/17) [2017] ZAGPPHC 151 (1 December 2017)
- De Villiers v S and Another (20732/2014) [2016] ZASCA 38 (24 March 2016)
- Executive Officer: Financial Services Board v Dynamic Wealth Ltd and Others (888/2010) [2011] ZASCA 193 (15 November 2011)
- Financial Services Board v Barthram and Another (20207/2014) [2015] ZASCA 96 (1 June 2015)
- Hlela and Others v SA Taxi Securitisation (Pty) Ltd and Others (515/2013) [2014] ZASCA 112 (17 September 2014)
- Impact Financial Consultants CC and Another v Bam NO and Others (856/2019) [2021] ZASCA 54 (30 April 2021)
- JP Markets v FSCA (460/2021) [2021] ZASCA 148 (20 October 2021)
- Karpovska v S (1396 of 2016) [2017] ZASCA 101 (24 August 2017)
- Living Hands (Pty) Limited NO and Others v Old Mutual Unit Trust Managers Ltd (42728/10) [2022] ZAGPJHC 456 (12 July 2022)
- Living Hands (Pty) Ltd N.N.O. and Others v Old Mutual Unit Trust Managers Ltd and Others (42728 of 2010) [2022] ZAGPJHC 698 (12 July 2022)
- Louw v Carter and Others (1890/2021) [2024] ZAECPEHC 21 (19 March 2024)
- MMI Group Ltd v Pitout; MMI Group Ltd v Britz (79287/16) [2023] ZAGPPHC 533 (5 May 2023)
- Minister of Communications and Digital Technologies and Another v South African Post Office Soc Ltd N.N.O. and Others (2023-051134) [2023] ZAGPPHC 774 (10 July 2023)
- Movundlela Consulting (Pty) Ltd v Mmela Financial Services; Mmela Financial Services v Machana N.O. and Others (14804/20; 17393/20) [2023] ZAGPJHC 225 (23 March 2023)
- Oaker and Others v Kriel ; Rockland Group Holdings (Pty) Ltd v Kriel NNO and Others (118/2021; 185/2022) [2023] ZASCA 68 (17 May 2023)
- Odifin (Pty) Ltd v Reynecke (906 of 2016) [2017] ZASCA 115 (21 September 2017)
- Ombud for Financial Services Providers v CS Brokers CC and Others (781/2020) [2021] ZASCA 117 (17 September 2021)
- PIC Soc Ltd and Another v Trencon Construction (Pty) Ltd and Another (365/2022) [2023] ZASCA 88 (8 June 2023)
- Picvest Investments (Pty) Ltd v Registrar of Financial Services Providers and Another (58053/12) [2017] ZAGPPHC 72 (8 December 2017)
- Polaris Capital (Pty) Ltd v The Registrar of Companies and Another (425/2008) [2009] ZASCA 131 (30 September 2009)
- Recycling and Economic Development Initiative of South Africa v Minister of Environmental Affairs ; Kusaga Taka Consulting (Pty) Ltd v Minister of Environmental Affairs (1260/2017; 1279/2017; 187/2018; 188/2018) [2019] ZASCA 1 (24 January 2019)
- S v Brown (681/2013) [2014] ZASCA 217 (1 December 2014)
- S v Maleka (5) (1209 of 2017) [2018] ZASCA 114 (18 September 2018)
- SAMWUMED v City of Ekurhuleni and Others (5068 of 2021) [2022] ZAGPJHC 654 (25 August 2022)
- South African Municipal Workers' Union National Medical Scheme (SAMWUMED) v City of Ekurhuleni and Others (1297/2022) [2023] ZASCA 182 (22 December 2023)
- Transnet Second Defined Benefit Fund v Wood (21875/21) [2022] ZAGPJHC 1123 (10 November 2022)
- Tristar Investments (Pty) Ltd v The Chemical Industries National Provident Fund (455/2012) [2013] ZASCA 59 (16 May 2013)
- Van Veen v Director of Public Prosecutions Western Cape and Others (2280/2022) [2023] ZAWCHC 99 (31 July 2023)
- Weissensee v Stone-Bird Investments (Pty) Ltd and Others (19821 of 2020) [2022] ZAGPJHC 775 (17 October 2022)
Law Reform Report 1
Legislation 27
- Companies Act, 2008
- Consumer Protection Act, 2008
- Declaration of a crypto asset as a financial product under the Financial Advisory and Intermediary Services Act, 2022
- Determination of Fit and Proper Requirements, 2017
- Determination of fees payable to the Registrar of Financial Services Providers, 2017
- Exemption from level 1 regulatory examination until finalisation of application for exemption, 2013
- Exemption of Certain Persons conducting Financial Services related business with a Private Equity Fund
- Exemption of burial societies and stokvels, 2013
- Exemption of compliance officers from the regulatory examination, 2012
- Financial Institutions (Protection of Funds) Act, 2001
- Financial Intelligence Centre Act, 2001
- Financial Markets Act, 2012
- Financial Sector Regulation Act, 2017
- Financial Sector Regulations, 2018
- Financial Sector and Deposit Insurance Levies Act, 2022
- General Exemption: Level 1 Regulatory Examination, 2013
- Income Tax Act, 1962
- Joint Standard 1 of 2023: IT Governance and Risk Management for Financial Institutions, 2023
- KwaZulu-Natal Consumer Protection Act, 2013
- Levies for Financial Institutions, 2022
- Northern Cape Consumer Protection Act, 2012
- Policyholder Protection Rules (Long-term Insurance), 2017
- Policyholder Protection Rules (Short-term Insurance), 2017
- Regulations Relating to the Kwazulu-Natal Joint Municipal Pension Fund (Retirement), 2019
- Regulations Relating to the Kwazulu-Natal Joint Municipal Pension Fund (Superannuation), 2019
- Regulations Relating to the Kwazulu-Natal Joint Municipal Provident Fund, 2019
- Requirements relating to Third Party Cell Captive Insurance Business, 2022