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Simply click on the module name to get a detailed listing of the components that make up the Module you have selected. Please note that certain Modules consist of more components than others.

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FAIS: First Level Regulatory Examination Course
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The course's modules
FAIS - Required Actions as a Representative FAIS - Required Actions as a Representative This Module examines: The purpose of the FAIS Act, roles, responsibilities and requirements , Licensing by the FSB, Fit and Proper requirements,The purpose of the register, Distinguishing between advice and intermediary services, Acting under supervision, Supervisory requirements, Record-keeping, General Code of Conduct and The roles and responsibilities of the key individual.
Obtaining an FSB Licence Obtaining an FSB Licence This Module of two Components looks into how to Contribute towards Obtaining an FSB Licence and the related Regulatory Requirements.
Obligations in terms of the Code of Conduct Obligations in terms of the Code of Conduct We look at the Specific Obligations in terms of the relevant Code of Conduct
Applying Knowledge of Financial Products Applying Knowledge of Financial Products We look at the Types of Financial Services that an FSP can deal with and Furnishing of Comprehensive Advice together with the Relevant Legislation
Acting Fraudulently and Debarment Offences Acting Fraudulently and Debarment Offences This Modules looks at the Consequences for Acting Fraudulently, namely debarment of the the representative
Aligning with Compliance Requirements Aligning with Compliance Requirements A good knowledge of this Module will ensure competency in being able to describe the role and function of a Compliance Officer.
Carrying out Record-Keeping Activities Carrying out Record-Keeping Activities Component # 1 – Record-Keeping , Component # 2 – The Relevant associated Legislation
FICA and Anti-Money Laundering Legislation FICA and Anti-Money Laundering Legislation The topic of Money Laundering fopm the perspective of the FSP, FAIS and FICA is comprehensively discussed