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Capital Markets Documents

Criteria for authorisation as an over-the counter derivatives provider
Code of Conduct for authorised over-the-counter derivative providers
Final Licensing Requirements and Additional Duties of a Trade Repository
The Ministerial Regulations and Notices Comment Matrix document

Moneyweb, Ingé Lamprecht

In the face of socio-economic, political and technological threats, financial advice in its current form will not be sustainable unless there is some kind of structural change, the Financial Services Board (FSB) has said.

Referring to the need for the Retail Distribution Review (RDR) during a presentation at the Momentum Risk Summit, Caroline da Silva, its deputy executive officer, said the FSB recognises that advice needs to be sustainable to ensure fair outcomes for customers.

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FAIS Notice 98 of 2016.pdf
Notice on Particular Exemption from Fees Payable to Registrar, No. 15 of 2016

FAIS Notice 97 of 2016.pdf
Exemption of Particular Persons from Qualification Requirements, No. 17 of 2016

FAIS Notice 96 of 2016.pdf
Exemption of Particular Persons from the Level 1 Regulatory Examination, No. 16 of 2016

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Beyond RDR

As the Retail Distribution Review approaches, I thought it might be a good idea to look at your state of RDR readiness through a series of critical questions that you will need to be able to answer in a convincing and confident manner once the new rules come into effect.

1. What do you do?...

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