Pretoria, 26 March 2010 Maart - Open Gazettes South Africa...2010/03/26 · STAATSKOERANT, 26 MAART 2010 BOARD NOTICES BOARD NOTICE 39 OF 2010 FINANCIAL SERVICES BOARD FINANCIAL ADVISORYAND

Pretoria, 26 March 2010Maart

2 No.33052 GOVERNMENT GAZETTE, 26 MARCH 2010

IMPORTANT NOTICE

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CONTENTS e INHOUD

No.

BOARD NOTICES

Page GazetteNo. No.

39 Financial Advisory and Intermediary Services Act (37/2002): Financial Servlces Board: Suspension of authorisations

40 do.: do.: Withdrawal of authorisation .

41 do.: do.: Lifting of suspensions .

42 do.: do.: Provisional withdrawal of authorisations .

43 do.: do.: Notice on amendments of exemptions .44 do.: do.: Amendment notice on the Determination of Qualifying Criteria and Qualifications for Financial Services

Providers, 2008 .

45 do.: do.: Exemption of Deutsche Bank (Maurituis) Limited .

3 33052

4 33052

6 33052

7 33052

8 33052

9 33052

90 33052

STAATSKOERANT, 26 MAART 2010

BOARD NOTICES

BOARD NOTICE 39 OF 2010

FINANCIAL SERVICES BOARD

FINANCIAL ADVISORY AND INTERMEDIARY SERVICES ACT, 2002(ACT NO. 37 OF 2002)

SUSPENSION OF AUTHORISATIONS

No.33052 3

I, German Emmanuel Anderson, the Deputy Registrar of Financial Services Providers, herebymake known under section 9(2)(d) of the Financial Advisory and Intermediary Services Act,2002 (Act No. 37 of 2002), that I have suspended under section 9(1) of the Act the licences ofthe following Licensees with effect from the respective dates referred hereunder:

Licensee FSP Effective DateNo.

9 Twentyfour Financial Services (Pty) Ltd 25422 4 August 2009

Alida Jacobs t/a Shalom Alijac Funeral Fund 16101 11 February 2010

Clinton Saaiman t/a CCS Motors 25987 8 July 2009

Dalys Hewlett and Associates (Pty) Ltd 9304 14 August 2009

Devan Sagadevan Govender t/a Devan Govender & Associates 22260 22 February 2010

EOSFIN (Pty) Ltd 11276 24 August 2009

FCS Koekemoer & F Holtzhauzen Va 40 Wealth 12643 2 November 2009

HJB Erasmus BK Va H& H Makelaars 8935 29 October 2009

Ivan Jacobus Thyssen Va Iwill Undertakers 14691 17 August 2009

Judith l\lobuhle Khoza 22514 10 September 2009

Roger WileD 117 CC t/a Augusta Motors 26399 9 February 2010

Southern Financial Planners CC 33074 10 September 2009

Yolande van Wyk 25826 17 September 2009

Z Mkize t/a Zandile Mkize Brokers 22158 30 September 2008

The terms attached to the suspension are as follows:

(a) The Licensees are prohibited from concluding any new business;(b) The Licensees must inform all affected clients and product suppliers concerned that

their licences have been suspended, and the Registrar must be copied with suchcorrespondence;

(c) The Licensees must, in consultation with clients and product suppliers concerned,take reasonable steps to ensure that any outstanding business is transferred toanother licensed financial services provider in the best interest of clients, and mustadvise the Registrar of Financial Services Providers accordingly;

(d) The suspension of the Licensees will endure for a period of three months after theeffective date, where after the Registrar will either lift the suspension if satisfied thatthe Licensees comply with the requirements of the Act, or withdraw the Licenseeslicenses if not so satisfied.

This Notice is called the Notice on Suspension of Authorisations, No. 1 of 2010.

~G EANDERSONDeputy Registrar of Financial Services Providers





WITHDRAWAL OF AUTHORISATIONS

I, German Emmanuel Anderson, the Deputy Registrar of Financial Services Providers,hereby make known under section 9(2)(d) of the Financial Advisory and IntermediaryServices Act, 2002 (Act No. 37 of 2002), that I have withdrawn under section 9(1) of the Actthe licences of the following Licensees with effect from the respective dates referredhereunder:

LicenseeFSP

Effective DateNo.

A1 Financial Planning CC VaA-Sure Financial Planning 39301 11 November 2009

Abdullah Dawood Khan 4003 2 November 2009

All Weather Capital CC 17528 09 January 2010

Arxcis Financial Services CC 28442 12 June 2009

B & T Funeral Brokers CC Va Constantia Funeral Brokers 36725 8 April 2009

Bernice Bernita Beryl Adams Va Bernice BB Adams 27181 7 April 2009

Bohlale Financial Services (Pty) Ltd 26500 17 March 2010

Bridge Brokerage (Pty) Ltd 17585 24 August 2009

Brookfield Investments 189 (Pty) Ltd 23214 11 August 2009

D Dolphins Funeral Services CC t/a The Dolphins Funeral 26198 4 September 2009Services

Divine Asset Management (Pty) Ltd 790 9 September 2009

Edwabond Capital Options (Pty)Ltd 31990 05 March 2010

EOSFIN (Pty) Ltd 11276 13 November 2009

Francois Arnoldus van der Merwe Va Enigma Financial 7919 14 October 2009Planning CC

Gert Jacobus Dreyer Va Save & Sure Brokers 14920 12 October 2009

Hermanus Adrian Combrink 3132 12 January 2009

HJB Erasmus BK Va H&H Makelaars 8935 16 March 2010

Imraan Amod Va M & I Consulting 20281 14 December 2010

Insignya Financial Services (Pty) Ltd 11975 25 August 2009

J Geldenhuys Va Belfa Insurance Brokers 209 2 March 2009

Kadebona Songo Va Songo Insurance Broking 12504 9 July 2009

Keewave Trading 242 CC 23165 4 March 2009

STAATSKOERANT, 26 MAART 2010 NO.33052 5

Key Spirit Trading 301 CC t/a Auto Invest 19127 11 March 2009

Lagerskraal Makelaars BK Va Lizmar Makelaars 6337 4 September 2009

Leonita Josephine Sturm 19152 14 September 2009

Makaza Auto Traders CC 34515 9 JUly 2009

Marnelda Trust Va Marnelda Trust Brokers 20714 24 August 2009

Martin Badenhorst 6135 22 February 2010

MJCM Professional Assurance Brokers CC 4096 2 November 2009

Octo Trading178 CC t/a MDP Brokers 17665 22 February 2010

QDLE Legal and Financial Services CC 20596 6 November 2009

Quantum Portfolio's CC 18585 13 March 2009

Roychund Singh Va Kwazulu Natal Financial Services 2323 8 February 2010

Sakhiwo David Mangquku 20490 11 Decem ber 2009

Sarel Johannes van der Walt Va Van der Walt & 25612 9 July 2009Associates

Sean Brian Peterson 12020 2 November 2009

Sedgefield Administrator CC Va Sedqefield Consulting 14858 7 September 2009

Sedgefield Administrator CC Va Sedgefield Consulting 14858 7 September 2009

SMG Insurance Services (Pty}Ltd 18327 5 March 2010

Tax &Finance Management CC 8078 27 November 2009

Ultracare Medical CC 13888 14 August 2009

Vinesh Whotho Maharaj Va Vinesh Maharaj &Associates 8608 3 March 2010

Vision Healthcare and Employee Benefits (Pty) Ltd 23354 15 May 2009

Wesley Drake Securities (Pty) Ltd 14278 10 June 2009

Wolkberg Makelaars BK 19159 5 January 2010

Zandile Mkhize Va Zandile Mkhize Brokers 22158 11 August 2009

Zeroth Thanda Nxumalo Va Multi Payouts Investment 21959 26 January 2010Broker

This Notice is called the Notice on Withdrawal of Authorisations, No.1 of 2010.

G EANDERSONDeputy Registrar of Financial Services Providers





LIFTING OF SUSPENSIONS

I, German Emmanuel Anderson, the Deputy Registrar of Financial Services Providers,hereby make known under section 9(2)(b) of the Financial Advisory and IntermediaryServices Act, 2002 (Act No. 37 of 2002), that I have lifted the suspensions of thefollowing Licensees with effect from the respective dates referred hereunder:

Licensee FSP No. Effective Date

AJG Brokers CC 14209 06 August 2009

Dalys Hewlett and Associates (Pty) Ltd 9304 25 January 2010

Devan Sagadevan Govender t/a Devan Govender & 22260 17 March 2010Associates

Judith Nobuhle Khoza 22514 3 November 2009

Solutrade 21 CC t/a Fritz Consulting 19900 31 August 2009

This Notice is called the Notice on Lifting of Suspensions, No. 1 of 2010.


STAATSKOERANT. 26 MAART 2010



No.33052 7


PROVISIONAL WITHDRAWAL OF AUTHORISATIONS

I, German Emmanuel Anderson, the Deputy Registrar of Financial ServicesProviders, hereby make known under section 9(3)(b), of the Financial Advisory andIntermediary Services Act, 2002 (Act No. 37 of 2002), that I have provisionallywithdrawn the licences of the following Licensees with effect from the respectivedates referred hereunder:

Licensee FSP Effective DateNo.

Afcapital (Pty) Ltd t/a In the Black 25063 18 February 2010

MJCIVI Professional Assurance Brokers CC 4096 10 September 2009

Solomon Marais Zietsman 13258 06 January 2010

This Notice is called the Notice on Provisional Withdrawal of Authorisation, No. 1 of2010.






NOTICE ON AMENDMENT OF EXEMPTIONS

I, German Emmanuel Anderson, Deputy Registrar of Financial Services Providers,hereby under paragraph 4(a) of-

(a) the Exemption of Banks in respect of Certain clients, 2004;

(b) the Exemption of Morgan Stanley and AMB Holdings in respect of CertainClients, 2004;

(c) the Exemption of UBS South Africa and Deutsche Securities in respect ofCertain Clients, 2007;

(d) the Exemption of First Africa and RMB Investments and Advisory in respectof Certain Clients, 2008;

(e) the Exemption of Nomura International in respect of Certain Clients, 2009;

(f) the Exemption of certain Merrill Lynch Entities in respect of Certain Clients,2009;

(g) the Exemption of Goldman Sachs International in respect of Certain Clients,2009,

amend paragraph 3 of the abovementioned Exemptions by the substitution for thedate "30 April 2010" of the date "30 April 2011".

This Notice is called the Notice on Amendment of Exemptions, 2010, and comes intooperation on 1 May 2009.

G EANDERSONDeputy Registrar ofFinancial Services Providers

STAATSKOERANT, 26 MAART 2010



FINANCIAL ADVISORY AND INTERMEDIARY SERVICES ACT, 2002(ACT NO 37 OF 2002)

No.33052 9

AMENDMENT NOTICE ON THE DETERMINATION OF QUALIFYING CRITERIA ANDQUALIFICATIONS FOR FINANCIAL SERVICES PROVIDERS, 2008

I, German Emmanuel Anderson, the Deputy Registrar of Financial Services Providers,after consultation with the Advisory Committee on Financial Services Providers, herebyunder paragraph 5(1)(a) of Part V of the Determination of Fit and Proper Requirementsfor Financial Services Providers, 2008, amend Annexure 2 to the Notice on theDetermination of Qualifying Criteria and Qualifications for Financial Services Providers,Number 1 of 2008, as set out in the Schedule to this Notice.

This Notice is called the Amendment Notice on the Determination of Qualifying Criteriaand Qualifications for Financial Services Providers, No. 1 of 2010.

GE ANDERSON,Deputy Registrar ofFinancial Services Providers


SCHEDULE

AMENDMENTS NOTICE ON THE DETERMINATION OF QUALIFYING CRITERIAAND QUALIFICATIONS FOR FINANCIAL SERVICES PROVIDERS, 2008

1. Definition

In this Schedule ''the Notice" means the Notice on the Determination of QualifyingCriteria and Qualifications for Financial Services Providers, Number 1 of 2008, aspublished by Board Notice 105 of 2008 in Government Gazette No. 31514 of15 October 2008.

2. Amendment of the index of Annexure 2 to the Notice

Annexure 2 of the Schedule to the Notice is hereby amended by the substitution ofthe index of Annexure 2 for the following:

"ANNEXURE 2: QUALIFICATIONS LISTSECTiON 1 ..............................•.•..............................................................................2List 1: Qualifications recognised for Category I FSPs ..••....••.••.•........••..•......••...••..••..2List 2: Specified subject(s) / module(s) / unit standard(s) based qualifications

recognised for Category I FSPs •......••••.•....•••••........•••.•....•.......•..........••.......28List 3: Qualifications recognised for Category I FSPs for the transitional period

only ..........•......•..••.....•..•••••........•••.•...••..•...••.••...•.•.••.....•..•••••••••.•.••••.••.••••...••29

SECTION 2: •..•.•.••...•.••••..••..•..•.••.•....•...••.....••.•••......•••.••.....•..•..••..........••.....•........••.31List 4: Qualifications recognised for Category II &IIA FSPs 31

SECTION 3: .....•.••......•.•••••....••.••.••.•......•...•••........••...........•........................•.••........•48List 5: Qualifications recognised for Category III FSPs .••.••..........••••.••......••••.•......••48List 6: Qualifications recognised for Category III FSPs for the transitional

period only ....•.•.•...••....•••............•...................•........••.............................•...•.64

SECTION 4: 66List 7: Qualifications recognised for Category IV FSPs•...........•................••••......•...66List 8: Specified subject(s) / module(s) / unit standard(s) based qualifications

recognised for Category IV FSPs 79List 9: Qualifications recognised for Category IV FSPs for the transitional

period only .••..•.••.•.•....•.••••.•.•.......•••.•.....••••..•.............••.............•...........•••••• 80~

3. Amendment of Annexure 2 to the NoticeAnnexure 2 of the Schedule to the Notice is hereby amended by the substitution forAnnexure 2 of the following Annexure:

2

ANNEXURE 2: LIST OF RECOGNISED QUALIFICATIONS

SECTION 1

List 1: Qualifications recognised for Category I FSPs

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Qualification title 10 CD Cil Category INo. < Co~ ii

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Higher Certificate in FSB - - G G G G G G G G G G G G G G G G G G G -Financial Markets and 028Instruments (HistoricalQualification)National Certificate: 14653 2 120 S - - - - - - - - - - - - - - - - - S -InsuranceAdministration

National Certificate: 48783 2 120 G - - - - - - - - - - - - - - - - - G -Financial Services

Further Education and 20185 4 120 S S S G G S G - - - - - - G - G S S G -Training Certificate:Banking

National Certificate: 20638 4 120 - - - - - - - - - - - - - G - - - - - -Collective InvestmentSchemes

National Certificate: 20639 4 120 - - - - - - - - - - - - - - - S - - - -Healthcare BenefitsAdministration: ClaimsAssessina

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Certificate: Financial 21166 4 120 S G S S G G G G G G G G G G G G S S S -Products

National Certificate: 21796 4 120 - S . - - S - - - - - - - - - - - - -Short-term Insurance

National Certificate: 24396 4 140 - G - - - S - - - - - - - - - - - - - -Risk Management

National Certificate: 48640 4 150 G - G G - - - - - - - - - - - - - - G -Financial ServicesManagement

Further Education and 49356 4 150 - - - - - - - - - - - - - - - S - - - --Training Certificate:Medical ClaimsAssessingFurther Education and 49649 4 140 G G S G G G G G G G G G G G G G G G G GTraining Certificate:Long-term Insurance

Further Education and 49835 4 140 - G G - - G - - - - - - - - - - - - -Training Certificate: /Retail Insurance 66609Further Education and 49929 4 150 G S - - - S - - - - - - - - - - G G GTraining Certificate: /Short~ermlnsurance 66610

Further Education and 57613 4 160 - S - - - S - - - - - - - - . - - - -Training Certificate:Short-term RiskManagement

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Further Education and 57917 4 150 G . G - - - - - - - - - . - - - - - GTraining Certificate: /Wealth Management 66613Diploma in Business FSB 5 N/A G G G G G G G G G G G G G G G G G G G GManagement (Historical 041Qualification)

Associateship FSB 5 N/A G G G G G G G G G G G G G G G G G G G GCertificate: Building 042Societies Institute ofSouth Africa (HistoricalQualification)National Higher 1213 5 240 G G G G G G G G G G G G G G G G S S G GCertificate: Banking

National Certificate: 1217 5 120 G G G G G G G G G G G G G G G G S S G GBanking

Diploma: Investment 3139 5 240 G G G G G G G G G G G G G G G G G G G GManagement

Diploma: Road 3215 5 240 - G - - . G - - . - - - - - - - - - - -Transport ManagementFreight

liSA Programme: Life 7150- 5 120 G . G G G - G G G G G G G G - - - - G GInsurance 1

Certificate: Banking 11541 5 120 G G G G G G G G G G G G G G G G G G G G

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Diploma: Banking 14373 5 384 G G G G G G G G G G G G G G G G G G G G

Certificate in 17001 5 120 G G G G G G G G G G G G G G G G G G G GManagement andLeadership (CML)

National Certificate: 20186 5 120 G G G G G G G G G G G G G G G G G G G GBanking /

61589Diploma: Treasury: 20334 5 240 G G G G G G G G G G G G G G G G G G G GInternational Banking

Diploma: Accounting 20402 5 252 G G G G G G G G G G G G G G G G G G G G

Technician

Higher Certificate: 20411 5 120 G S G G G S G G G G G G G G - - - - G GShort-term Insurance

Higher Certificate: 20411 5 120 G - G - G - G G G G G G G G - - - - G -Long-term Insurance

Certificate: Banking 21164 5 120 G G G G G G G G G G G G G G G G G G G G

Certificate: 22151 5 120 G G G G G G G G G G G G G G G G G G G GManagementDevelopment

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National Certificate: 22452 5 120 - - - - - - - - - . - - - - - - - - - GBusiness Studies

Certificate: Local 23616 5 120 G G G G G G G G G G G G G G G G G G G GGovernment

National Certificate: 23973 5 120 G G G G G G G G G G G G G G G G G G G GWealth Management

Advanced Certificate: 24356 5 284 - - - - - G - - - - - - - - - - - - - -International Trade(Exports/Imports)iACmCertificate: Practical 36047 5 163 G G G G G G G G G G G G G G G G G G G GManagement

Certificate: Banking 48533 5 120 G G G G G G G G G G G G G G G G G G G GServices Advice

National Diploma: 49860 5 245 G G G G G G G G G G G G G G G G G G G GFinancial Services LongTerm Risk Assessment

National Certificate: 57608 5 120 G G G G G G G G G G G G G G G G G G G GWealth Management

Certificate: Banking 57639 5 120 G G G G G G G G G G G G G G G G G G G G(Financial Services) /

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

National Certificate: 57918 5 120 . G . . - G - . . . . . . - . . - - . .Short Term Insurance

Certificate: Financial 57998 5 120 S G S S S G S G G G G G G S G G S S S GPlanning /

62810National Certificate: 58002 5 131 G G G G G G G G G G G G G G G G G G G GBanking Services /Advice 62811Diploma: Business 58341 5 240 G G G G G G G G G G G G G G G G G G G GManagement

National Certificate: 59201 5 162 G G G G G G G G G G G G G G G G G G G GGeneric Management

Registered Financial 59234 5 120 G G G G G G G G G G G G G G G G G G G GPlanner (RFpTM)

Certificate: Technology 59449 5 120 G G G G G G G G G G G G G G G G G G G GManagement &Innovation

Certificate: Bank Credit 59829 5 120 G G G G G G G G G G G G G G G G G G G G/62813

National Certificate: 61529 5 120 . G - - . G - - - . . - . - - . - - - -Loss Adjusting

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Qualification title 10 III ii3 Category INo. < Q.

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National Certificate: 61589 5 120 G G G G G G G G G G G G G G G G G G G GBanking

Certificate: 62269 5 120 G G G G G G G G G G G G G G G G G G G GManagementDevelopment

Certificate: Sales: 65170 5 120 G G G G G G G G G G G G G G G G G G G -Banking Services

Bachelor of Commerce: FSB 6 360 G G G G G G G G G G G G G G G G G G G GGeneral 029University of TranskeijWalter Sisulu UniversityNational Diploma: 961 6 360 G G G G G G G G G G G G G G G G G G G GEconomic ManagementAnalysis

National Diploma: 977 6 360 G G G G G G G G G G G G G G G G S S G GBanking

National Diploma: Cost 1061 6 360 G G G G G G G G G G G G G G G G G G G Gand ManagementAccounting

National Diploma: 2165 6 360 G G G G G G G G G G G G G G G G G G G GInternal Auditing

Bachelor of Agricultural 2483 6 384 G G G G G G G G G G G G G G G G G G G GManagement

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Bachelor of Accounting 2549 6 384 G G G G G G G G G G G G G G G G G G G G

Bachelor of Social 2961 6 384 G G G G G G G G G G G G G G G G G G G GScience

Bachelor of Commerce: 3095 6 432 G G G G G G G G G G G G G G G G G G G GAccounting

Bachelor of Commerce: 3117 6 432 G G G G G G G G G G G G G G G G G G G GFinance

Bachelor of Commerce: 3255 6 432 G G G G G G G G G G G G G G G G G G G GIndustrial Psychology

Bachelor of Commerce: 4427 6 432 G G G G G G G G G G G G G G G G G G G GEconomics and Law


Bachelor of Accounting 5535 6 408 G G G G G G G G G G G G G G G G G G G GScience

Bachelor of Commerce 5563 6 384 G G G G G G G G G G G G G G G G G G G G

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Baccalaureas 5997 6 432 G G G G G G G G G G G G G G G G G G G GProcurationis


Bachelor of Laws/ 6875/ 6 360 G G G G G G G G G G G G G G G G G G G GBachelor Legum 6877/

Bachelor of Commerce: 7039 6 430 G G G G G G G G G G G G G G G G S S G GBanking

Bachelor of Commerce: 7263 6 360 G G G G G G G G G G G G G G G G G G G GEconomics

Bachelor of 7333 6 360 G G G G G G G G G G G G G G G G G G G GAdministration


Bachelor of Commerce: 7895 6 360 G G G G G G G G G G G G G G G G G G G GMonetary Economics


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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Bachelor of Economics 8613 6 536 G G G G G G G G G G G G G G G G G G G G

Bachelor of Law 8877 6 480 G G G G G G G G G G G G G G G G G G G G


Bachelor of Commerce: 9878 6 360 G G G G G G G G G G G G G G G G G G G GLaw

Bachelor of Banking 14375 6 504 G G G G G G G G G G G G G G G G G G G G

Bachelor of Commerce: 14779 6 384 G G G G G G G G G G G G G G G G G G G GAccountancy




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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Bachelor of 15506 6 384 G G G G G G G G G G G G G G G G G G G GAccountancy

Bachelor of Commerce: 15594 6 369 G G G G G G G G G G G G G G G G G G G GLaw

Bachelor of Science: 16253 6 384 G G G G G G G G G G G G G G G G G G G GActuarial Science

Bachelor of Commerce: 16386 6 473 G G G G G G G G G G G G G G G G G G G GInvestmentManagement

Bachelor of Commerce: 16441 6 421 G G G G G G G G G G G G G G G G G G G GAgribusinessManagement

Bachelor of Commerce: 16912 6 536 G G G G G G G· G G G G G G G G G G G G GGeneral Management

Bachelor of Commerce: 16913 6 536 G G G G G G G G G G G G G G G G G G G GBanking

Bachelor of Commerce: 16915 6 536 G G G G G G G G G G G G G G G G G G G GMarketing

Bachelor of Commerce: 16927 6 568 G G G G G G G G G G G G G G G G G G G GAgricultural Economics

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

B.Com (Risk 16936 6 528 G G G G G G G G G G G G G G G G G G G GManagement)

Diploma in 16991 6 360 G G G G G G G G G G G G G G G G G G G GManagementLeadership (DML)

Bachelor of Commerce: 19584 6 386 G G G G G G G G G G G G G G G G G G G GAccounting Sciences

Bachelors of 19587 6 370 G G G G G G G G G G G G G G G G G G G GCommerce:Management Sciences

Bachelor of Economics: 19592 6 370 G G G G G G G G G G G G G G G G G G G GEconomics andManagement

Bachelor of Military 19669 6 360 G G G G G G G G G G G G G G G G G G G GScience

Diploma: Insurance 20412 6 120 G - G G G - G - - - - - - - - - - - G(Specialisation in Long-term insurance)

Diploma: Insurance 20412 6 120 - G - - - G - - - . - - - - - - - - - -(Specialisation in Short-term insurance)

Bachelor of Arts (Law) 23375 6 360 G G G G G G G G G G G G G G G G G G G G

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National Diploma: 23653 6 240 G G G G G G G S S S S S S G G G G G G GFinancial Markets

Diploma: Accounting & 24326 6 360 G G G G G G G G G G G G G G G G G G G GBusiness Administration

Diploma: Marketing 24327 6 350 G G G G G G G G G G G G G G G G G G G G

Diploma: Management 35957 6 420 G G G G G G G G G G G G G G G G G G G G

Certificate: Business 36045 6 120 G G G G G G G G G G G G G G G G G G G GManagement

National Certificate: 50481 6 120 G G G G G G G G G G G G G G G G G G G GFinancial Markets &Instruments

Bachelor of Commerce: 58005 6 363 G G G G G G G G G G G G G G G G G G G GBanking Management

National Diploma: 57222 6 240 G G G G G G G G G G G G G G G G G G G GManagement(Accountancy)

National Certificate: 57695 6 120 G G G G G G G G G G G G G G G G G G G GFinancial Planning I

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1 2 3 4 5 6 7 8 9 10 1'1 12 13 14 15 16 17 18 19 KI

Associate Financial 59233 6 120 G G G G G G G G G G G G G G G G G G G GPlanner (AFpTM)

Higher Diploma: 59830 6 240 G G G G G G G G G G G G G G G G G G G GBanking

Bachelor in Business 59850 6 360 G G G G G G G G G G G G G G G G G G G GAdministration

Advanced Diploma: 62270 6 120 G G G G G G G G G G G G G G G G G G G GManagement

Bachelor of Commerce: 62812 6 363 G G G G G G G G G G G G G G G G G G G GBanking Management

Higher diploma: 62814 6 240 G G G G G G G G G G G G G G G G G G G GBanking

National Diploma: 65306 6 360 G G G G G G G G G G G G G G G G G G G GMarketing

National Diploma: Cost 72220 6 360 G G G G G G G G G G G G G G G G G G G Gand ManagementAccounting

National Diploma in 72610 6 360 G G G G G G G G G G G G G G G G G G G GManagement

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1 2 3 4 5 6 7 8 9 10 1'1 12 13 14 15 16 17 18 19 KI

Certificate: Wealth 73350 6 120 G G G G G G G G G G G G G G G G G G G GManagement

Registered Persons FSB 6 N/A G G G G G G G S G G G G G G G G G G G GExam: Specialisation 030in the Equity Market

· Must include the3 prescribedmodules

Registered Persons FSB 6 N/A G G G G G G G G G G G S G G G G G G G GExam: Specialisation 031in the Bond Market(Compliance):• Must include the

3 prescribedmodules

Registered Persons FSB 6 N/A G G G G G G G G G S G S G G G G G G G GExam: Specialisation 032in the Bond Market(Trader)• Must include the

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Registered Persons FSB 6 N/A G G G G G G G G G G S G S G G G G G G GExam: Specialisation 033in the FuturesMarket:• Must include the

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Registered Persons FSB 6 N/A G G G G G G G G G G G G S G G G G G G GExam: Specialisation 034

in the Yield - XMarket:• Must include the

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Registered Persons FSB 6 N/A G G G G G G G G G G G G S G G G G G G GExam: Specialisation 035in the CurrencyDerivatives Market(Advice):


Registered Persons FSB 6 N/A G G G G G G G G G G G G S G G G G G G GExam: Specialisation 036

in the CurrencyDerivatives Market(Trader):


Registered Persons FSB 6 N/A G G G G G G G G G G G G G G S G G G G GExam: Specialisation 037in the Foreign

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

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Registered Persons FSB 6 NjA G G G G G G G G S G G G G G G G G G G GExam: Specialisation 038in the Money Market:• Must include the

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Registered Persons FSB 6 NjA G G G G G G G G G G G G G G G G G G G GExam: Agricultural 039Products .· Must include the

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liSA Programme in FSB 6 120 G G - G G - G - - - - - - - - - - - G GAdvance Insurance 043Practice: PensionsliSA Programme in FSB 6 120 G G G G G G - - - - - . - - - - - - G GAdvance Insurance 044Practice: Short terminsuranceliSA Programme in FSB 6 120 G G G G - G - - - - - - - - - - - - G GAdvance Insurance 045Practice: Long terminsurance

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Bachelor of Commerce:Financial Planning

Bachelor of Technology:Banking

Bachelor of Technology:Marketing

Bachelor of AccountingHonours

Postgraduate Diploma:Finance Banking andInvestmentManaaementBachelor of CommerceHonours: Accounting

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Bachelor of Commerce I 3093 I 7 I 120 I GHonours (Allspecialisations)

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1 2 3 4 5 6 7 8 9 10 "11 12 13 14 15 16 17 18 19 KI

Bachelors of Commerce 3095 7 120 G G G G G G G G G G G G G G G G G G G GHonours: Accounting

Bachelor of Commerce 3137 7 160 G G G G G G G G G G G G G G G G G G G GHonours: InvestmentManagement

Bachelor of Business 4403 7 576 G G G G G G G G G G G G G G G G G G G GScience: Allspecialisations

Bachelor of Business 4411 7 576 G G G G G G G G G G G G G G G G G G G GScience: ActuarialScience

Postgraduate Diploma: 5191 7 120 G G G G G G G G G G G G G G G G G G G GAccounting

Bachelor of Laws! 6015 7 480 G G G G G G G G G G G G G G G G G G G GBachelor Legum

ICSA Programme in 7110- 7 96 G G G G G G G G G G G G G G G G G G G GStrategic Management 2and CorporateGovernanceBachelor of Commerce 7215 7 200 G G G G G G G G G G G G G G G G G G G GHonours: Banking

Postgraduate 14547 7 240 G G G G G G G G G G G G G G G G G G G GCertificate: AdvancedTaxation

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Bachelor of Business 14784 7 544 G G G G G G G G G G G G G G G G G G G GScience: Economics

Bachelor of Arts 14860 7 160 G G G G G G G G G G G G G G G G G G G GHonours: InternationalTrade and Finance

Bachelor of Business 15370 7 150 G G G G G G G G G G G G G G G G G G G GManagement andAdministration Honours

Bachelor of Commerce 15415 7 160 G G G G G G G G G G G G G G G G G G G GHonours: InternationalTrade and Finance

Bachelor of Arts 15475 7 160 G G G G G G G G G G G G G G G G G G G GHonours: Trade andDevelopment

Post Graduate Diploma: 15497 7 120 G G G G G G G G G G G G G G G G G G G GManagement FinancialAccounting

Bachelor of Commerce 16400 7 180 G G G G G G G G G G G G G G G G G G G GHonours: FinancialManagement Sciences

Bachelor of Commerce 16486 7 160 - - - - - G - - - - .. - - - - - - - - -Honours: AgribusinessManagement

Bachelor of Commerce 16955 7 120 G G G G G G G G G G G G G G G G G G G GHonours: InvestmentManagement

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1 2 3 4 5 6 7 8 9 10 1"1 12 13 14 15 16 17 18 19 KJ

Bachelor in 16994 7 120 G G G G G G G G G G Gi G G G G G G G G GManagement /36Leadership (BML) 0Bachelor of Commerce 18974 7 160 G G G G G G G G G G Gi G G G G G G G G GHonours: FinancialManagement

Bachelor of Commerce 19960 7 120 G G G G G G G S S S S S S S G G G G G GHonours: FinancialAnalysis and PortfolioManaoementBachelor of Commerce 19962 7 120 G G G G G G G G G G Gi G G G G G G G G GHonours: FinancialManagement

Advanced Diploma: 20351 7 120 G G G G G G G G G G G G G G G G G G G GInsurance Management

Post-Graduate Diploma: 20391 7 240 G G G G G G G G G G G G G G G G G G G GAccount Practice

Post-Graduate 20392 7 480 G G G G G G G G G G G G G G G G G G G GProfessionalQualification:Professional Accountantin BusinessBachelor of Laws 22993 7 480 G G G G G G G G G G G G G G G G G G G G

Diploma: Company 36050 7 240 G G G G G G G G G G G G G G G G G G G GDirection

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Postgraduate Diploma: 48866 7 160 G G S S S G S G G G G G G S G G G G G GFinancial Planning(Differs according toprovider)Advanced Postgraduate 48867 7 120 G G G G G G G G G G G G G G G G G G G GDiploma: FinancialPlanning (Differsaccordlnq to provider)Chartered Accountant: 48913 7 679 G G G G G G G G G G G G G G G G G G G GAUditing

Bachelor of Commerce 50148 7 120 G G G G G G G G G G G G G G G G G G G GHonours: FinancialPlanning

Bachelor of Technology: 65341 7 480 G G G G G G G G G G G G G G G G G G G GInternal AUditing

Postgraduate FSB 7 120 - - - - G - G - - - - - - - - - - - - -Diploma: 046Management(Retirement Funds)Certified Financial 59235 7 120 S G S S S G G G G G G G G S G S G G S GPlanner (CFP®)

Professional 60654 7 120 G G G G G G G G G G G G G G G G G G G GPostgraduateQualification:Company Secretarialand Governance

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Bachelorof Technology: 72429 7 480 G G G G G G G G G G G G G G G G G G G GMarketing

Doctor of Commerce: 3133 8 360 G G G G G G G G G G G G G G G G G G G GInvestmentManagementMaster of Commerce: 3135 8 240 G G G G G G G G G G G G G G G G G G G GInvestmentManaoementMaster of Commerce: 4807 8 300 G G G G G G G G G G G G G G G G G G G GSpecialisation inBanklnqDoctor of Commerce: 4887 8 144 G G G G G G G G G G G G G G G G G G G GSpecialisation inInsurance ScienceMaster of Business 4909 8 300 G G G G G G G G G G G G G G G G G G G GAdministration

Masterof Business 5047 8 120 G G G G G G G G G G G G G G G G G G G GAdministration

Masterof Business 9257 8 240 G G G G G G G G G G G G G G G G G G G GAdministration

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Doctor of Commerce: 16574 8 300 G G G G G G G G G G G G G G G G G G G GBanking

Master of Business 19606 8 288 G G G G G G G G G G G G G G G G G G G GAdministration:Telematic

Master of Business 19608 8 120 G G G G G G G G G G G G G G G G G G G GManagement andAdministration

Master of Business 36072 8 440 G G G G G G G G G G G G G G G G G G G GAdministration: TourismDevelopment

Master: Business 36078 8 200 G G G G G G G G G G G G G G G G G G G GI Adminlstratlon: General

Master: Business 62271 8 233 G G G G G G G G G G G G G G G G G G G GAdministration

Chartered Financial FSB . - S G S S S G S S S S S S S S S G S S S GAnalyst (CFA) 001(Foreign Qualification)

Alternative Investment FSB - - - - . - - - - G G G G G G G - - - - - GSpecialist (CAIA) 002(Foreign Qualification)

Chartered Insurance FSB . - . G G - . G . - - - - - - - . - - - . GInstitute (CII): Certificate 003in Insurance(Foreian Qualification)

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Chartered Insurance FSB - - G G G G - G . - - - - - - - - G - - G GInstitute (CII): Diploma 004in Insurance(Foreion Qualification)Chartered Insurance FSB - - G G G G - G . - - - - . - - - G - - G GInstitute (CII): Advanced 005diploma in Insurance(Foreian Qualification)Fellowship of the CII FSB - - G G G G G G G G G G G G G G G G G G G G(Chartered Insurance 006Institute)(Foreian Qualification)Associate ship of the CII FSB - - G G G G G G G G G G G G G G G G G G G G(Chartered Insurance 007Institute) (ForeignQualification)Post graduate Diploma FSB 8 120 - - - - G - G - - - - - - - - - - - - -Management 008(Retirement Funds)

International Certificate FSB - - G G G G G G G G G G G G G G G G G G G -in Financial Advice 009

International Diploma in FSB - - G G G G G G G G G G G G G G G G G G G GCompliance 010

UK Chartered Insurance FSB - - G G G G G G G G G G G G G G G G G G G GInstitute Certificate in 011Financial Planning

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List 2: Specified subject(s) / module(s) / unit standard(s) based qualifications recognised for Category IFSPs

The qualifications included in the list below must contain the subjects / modules / unit standards as specified below in order to be recognised.

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Qualification title C1l C1l Specified subJects/ modules/ unit standards based qualifications recognised for Category INo. < a.!!!. ~

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 KI

Further Education and 20185 4 120 G G G G - G - - - - .. - - - - . G G G ?Training Certificate:Banking

· *This qualification is recognised if it contains the following unit standards: 230071,230075,242655,252203,242815, 110028,242658,242657, 120127, 13379, 117156,114759,243137,252191, 7223, 14963, 12456, 117709,242584,242593.

· To be recognised for short-term insurance the following electives will apply: 120011, 119679,242653, 120114,243137, 117121

· To be recognised for long-term insurance the following electives will apply: 117126, 119261, 11713

· To be recognised for short-term and long-term deposits the following electives will apply: 7223, 7231, 7236, 114759, 117156

· Please note: This SAQA ID for this Qualification is the same as for the National Certificate: Bankim (20185) NQF level 4National Certificate: 20186 5 120 G - G G - . - G G G G G G G - . G G G ?Banking

This qualification is recognised if it contains the following unit standards: 12886, 12887, 12888, 12937, 12883, 7343, .230071, 230075, 7334, 7356, 7361, 13948, 242614.

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List 3: Qualifications recognised for CateSlory I FSPs for the transitional period only

The qualifications included in the list below will only be recognised up to and including 31 December 2009 in accordance to the Fit and Proper. _. ---- - - --- - - - - - - -- - - - J - - - - - --- - -

r oProvider specific 10 CI) ia Qualifications recognised only for transitional period for Category Iqualification title No. < Co

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1 2 3 4 5 6 7 8 9 10 1"1 12 13 14 15 16 17 18 19 KI

Postgraduate Certificate FSB - - - - - - - - . - - - - - - - - G - - - -in Medicine and Law 013

Certificate Health FSB - - - .. - - - - - - - - - - - - - G - - - -Benefits Examination 014

SAIM Programme in FSB - 72 G G G G G G G G G G G G G G G G G G G GBusiness Management 015(UNISA)

Certificate of FSB 4 N/A - - - - - - G - - - - - . - - - - - . -Proficiency: Basics of 016Retirement Funds

Certificate of FSB 4 N/A G - G - - - - - - - - - - - - - - - - -Proficiency: Long-term 017basic (Category BProgramme)UNISA Course: FSB 5 30 G - G - - - - - - - - - - - - - G G - -Fundamentals of 018Banking &RiskManagementUNISA Certificate in FSB 6 60 G G G G G G G G G G G G G G G G G G G GFinancial Management 019

UNISA Programme: FSB 6 96 G G G G G G G G G G G G G G G G G G G GBanking 020

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1 2 3 4 5 6 7 8 9 10 1'1 12 13 14 15 16 17 18 19 KI

UNISA Programme: FSB 6 108 G G G G G G G G G G G G G G G G G G G GRisk Management 021

Programme in 7106- 6 48 G - G G - - - G G G G G G G - - - - G -Investment analysis and 4portfolio management

Certificate in Employee FSB 6 60 GHealth Benefits - 022University of Pretoria

UNISA Advanced FSB 7 96 - - - - - - - G - - - - - - - - - - - -Programme: Property 023Finance

UNISA Advanced FSB 7 108 G - G G G - G G G G G G G G - - G G G GProgramme: 024International & CentralBankinQUNISA Advanced FSB 7 96 G - G G G - G G G G G G G G - - G G G GProgramme: Financial 025Planning & Estates

UNISA Advanced FSB 7 96 G G G G G G G G G G G G G G G G G G G GProgramme: Bank 026Credit

Senior Management FSB 7 - G G G G G G G G G G G G G G G G G G G GProgramme 027

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List 4: Qualifications recognised for Category" & IIA FSPs

Qualification title lONe. o Category II and IIAr aII)< Q.!. ~

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Higher Certificate in Financial Markets and FSB 028 - . G G G G G G G G G G G G G G G -Instruments (Historical Qualification)

Bachelor of Commerce: General FSB 029 6 360 G G G G G G G G G G G G G G G GUniversity of Transkei/ Walter Sisulu University

National Diploma: Economic Management Analysis 961 6 360 G G G G G G G G G G G G G G G G

National Diploma: Banking 977 6 360 G G G G G G G G G G G G G G G G

National Diploma: Cost and Management 1061 6 360 G G G G G G G G G G G G G G G G~ccounting

National Diploma: Internal Auditing 2165 6 360 G G G G G G G G G G G G G G G G

Bachelor of Agricultural Management 2483 6 384 G G G G G G G G G G G G G G G G

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2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Bachelor of Accounting 2549 6 384 G G G G G G G G G G G G G ·G G G

Bachelor of Social Science 2961 6 384 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Accounting 3095 6 432 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Finance 3117 6 432 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Industrial Psychology 3255 6 432 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Economics and Law 4427 6 432 G G G G G G G G G G G G G G G G


Bachelor of Accounting Science 5535 6 408 G G G G G G G G G G G G G G G G

Bachelor of Commerce 5563 6 384 G G G G G G G G G G G G G G G G

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2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Baccalaureas Procurationis 5997 6 432 G G G G G G G G G G G G G G G G


Bachelor of Laws! Bachelor Legum 6875! 6 360 G G G G G G G G G G G G G G G G6877

Bachelor of Commerce: Banking 7039 6 430 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Economics 7263 6 360 G G G G G G G G G G G G G G G G

Bachelor of Administration 7333 6 360 G G G G G G G G G G G G G G G G


Bachelor of Commerce: Monetary Economics 7895 6 360 G G G G G G G G G G G G G G G G

IBachelor of Commerce 8543 6 536 G G G GIG G G G G G G G G G G G

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Qualification title IONo. o Category II and IIAr(1) @< Q.

!!!.. U2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Bachelor of Economics 8613 6 536 G G G G G G G G G G G G G G G G

Bachelor of Law 8877 6 480 G G G G G G G G G G G G G G G G


Bachelor of Commerce: Law 9878 6 360 G G G G G G G G G G G G G G G G

Bachelor of Banking 14375 6 504 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Accountancy 14779 6 384 G G G G G G G G G G G G G G G G




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Qualification title 10 No.0 Category II and IIA

rl\) iil< c.~!. rt

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Bachelor of Accountancy 15506 6 384 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Law 15594 6 369 G G G G G G G G G G G G G G G G

Bachelor of Science: Actuarial Science 16253 6 384 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Investment Management 16386 6 473 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Agribusiness Management 16441 6 421 G G G G G G G G G G G G G G G G

B.Com (General Management) 16912 6 536 G G G G G G G G G G G G G G G G

B.Com (Banking) 16913 6 536 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Marketing 16915 6 536 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Agricultural Economics 16927 6 568 G G G G G G G G G G G G G G G G

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r- a(1)

< Co~ it

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

B.Com (Risk Management) 16936 6 528 G G G G G G G G G G G G G G G G

Diploma in Management Leadership (DML) 16991 6 360 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Accounting Sciences 19584 6 386 G G G G G G G G G G G G G G G G

Bachelors of Commerce: Management Sciences 19587 6 370 G G G G G G G G G G G G G G G G

Bachelor of Economics: Economics and 19592 6 370 G G G G G G G G G G G G G G G GManagement

Bachelor of Military Science 19669 6 360 G G G G G G G G G G G G G G G G

Diploma: Insurance (Specialisation in Short-term 20412 6 120 G G - G G - . . - - - - - - - -insurance)

Bachelor of Arts (Law) 23375 6 360 G G G G G G G G G G G G G G G G

National Diploma: Financial Markets 23653 6 240 G G G G G S S S S S S G G G G G

Diploma: Accounting & Business Administration 24326 6 360 G G G G G G G G G G G G G G G G

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r iilI'D-: c.~ it

2.1 2.2 2.3 2.4 2.5 2.6 :t7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Diploma: Marketing 24327 6 350 G G G G G G G G G G G G G G G G

Diploma: Management 35957 6 420 G G G G G G G G G G G G G G G G

Certificate: Business Management 36045 6 120 G G G G G G G G G G G G G G G G

National Certificate: Financial Markets & 50481 6 120 G G G G G G G G G G G G G G G GInstruments

National Diploma: Management (Accountancy) 57222 6 240 G G G G G G G G G G G G G G G G

National Certificate: Financial Planning 57695 6 120 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Banking Management 58005 6 363 G G G G G G G G G G G G G G G G

Associate Financial Planner (AFpTM) 59233 6 120 G G G G G G G G G G G G G G G G

Higher Diploma: Banking 59830 6 240 G G G G G G G G G G G G G G G G

Bachelor in Business Administration 59850 6 360 G G G G G G G G G G G G G G G G

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Qualification title 10 No. o Category II and IIAr iil~ c.!!. a

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KJ

~dvanced Diploma: Management 62270 6 120 G G G G G G G G G G G G G G G G

Higher Diploma: Banking 62810 6 240 G G G G G G G G G G G G G G G G

Bachelor of Commerce: Banking Management 62812 6 363 G G G G G G G G G G G G G G G G

National Diploma: Marketing 65306 6 360 G G G G G G G G G G G G G G G G

National Diploma: Cost and Management 72220 6 360 G G G G G G G G G G G G G G G GAccounting

National Diploma in Management 72610 6 360 G G G G G G G G G G G G G G G G

Certificate: Wealth Management 73350 6 120 G G G G G G G G G G G G G G G G

Bachelor of Science: Mathematical Statistics 624691 6 360 G G G G G G G G G G G G G G G G17398

Registered Persons Exam: Specialisation in the FSB030 6 N/A G G G G S G G G G G G G G G G GEquity Market• Must include the 3 prescribed modules

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2.1 2.2 2.3 2.4 2.5 2.6 2:7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Registered Persons Exam: Specialisation in the FSB 031 6 N/A G G G G G G G G S G G G G G G GBond Market (Compliance):

· Must include the 3 prescribed modules

Registered Persons Exam: Specialisation in the FSB 032 6 N/A G G G G G G S G S G G G G G G GBond Market (Trader)


Registered Persons Exam: Specialisation in the FSB 033 6 N/A G G G G G G G S G S G G G G G GFutures Market:


Registered Persons Exam: Specialisation in the FSB 034 6 N/A G G G G G G G G G S G G G G G GYield - X Market:


Registered Persons Exam: Specialisation in the FSB 035 6 N/A G G G G G G G G G S G G G G G GCurrency Derivatives Market (AdVice):


Registered Persons Exam: Specialisation in the FSB 036 6 N/A G G G G G G G G G S G G G G G GCurrency Derivatives Market (Trader):


Registered Persons Exam: Specialisation in the FSB 037 6 N/A G G G G G G G G G G G S G G G GForeign ~change Market:


Registered Persons Exam: Specialisation in the FSB 038 6 N/A G G G G G S G G G G G G G G G GMoney Market:


Registered Persons Exam: Agricultural Products FSB 039 6 N/A G G G G G G G G G G G G G G G G• Must include the 3 prescribed modules

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!OuallflcatiOn title IDNo. o Category" and IIAr iil~< Co!! ~

2.1 2.2 2.3 2.4 2.5 2.6 2:7 2.8 2.9 2.10 2.11

2':h13 2.14 IIA KI

Bachelor of Commerce: Financial Planning FSB 040 6 - G G G G G G Gi G G G G G G G G GI

Bachelor of Technology: Banking (1057202) 1019 7 480 G G G G G G G G G G G G G G G G

Bachelor of Technology: Marketing 1325 7 480 G G G G G G G G G G G G G G G G

Bachelor of Accounting Honours 2559 7 128 G G G G G G Gi G G G G G G G G G

Postgraduate Diploma: Finance Banking and 2629 7 128 G G G G G G G G G G G G G G G GInvestment Management

Bachelor of Commerce Honours: Accounting 3093 7 120 G G G G G G G G G G G G G G G G

Bachelor of Commerce Honours: Specialisation in 3093 7 120 G G G G G G G G G G G G G G G GInternal Auditing

Bachelor of Commerce Honours: Specialisation in 3093 7 120 G G G G G G G G G G G G G G G G[Taxation

Bachelor of Commerce Accounting Honours: 3093 7 120 G G G G G G G G G G G G G G G GSpecialisation in Chartered Accountancy

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Qualification title 10 No. o Category II and IIAr ...CD CD< Co~ ~

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Bachelors of Commerce Honours: Accounting 3095 7 120 G G G G G G G G G G G G G G G G

Bachelor of Commerce Honours: Investment 3137 7 160 G G G G G G G G G G G G G G G GManagement

Bachelor of Business Science: Accounting 4403 7 576 G G G G G G G G G G G G G G G G

Bachelor of Business Science: Finance 4403 7 576 G G G G G G G G G G G G G G G G

Bachelor of Business Science: Actuarial Science 4411 7 576 G G G G G G G G G G G G G G G G

Postgraduate Diploma: Accounting 5191 7 120 G G G G G G G G G G G G G G G G

Bachelor of Laws! Bachelor Legum 6015 7 480 G G G G G G G G G G G G G G G G

ICSA Programme in Strategic Management and 7110-2 7 96 G G G G G G G G G G G G G G G GCorporate Governance

Bachelor of Commerce Honours: Banking 7215 7 200 G G G G G G G G G G G G G G G G

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Category II and IIAr- iilCD< a.!l!- it

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KJ

Postgraduate Certificate: Advanced Taxation 14547 7 240 G G G G G G G G G G G G G G G GI

Bachelor of Business Science: Economics 14784 7 544 G G G G G G G G G G G G G G G G

Bachelor of Arts Honours: International Trade and 14860 7 160 G G G G G G G G G G G G G G G GFinance

Bachelor of Business Management and 15370 7 150 G G G G G G G G G G G G G G G GAdministration Honours

Bachelor of Commerce Honours: International 15415 7 160 G G G G G G G G G G G G G G G GTrade and Finance

Bachelor of Arts Honours: Trade and Development 15475 7 160 G G G G G G G G G G G G G G G G

Post Graduate Diploma: Management Financial 15497 7 120 G G G G G G G G G G G G G G G GAccounting

Bachelor of Commerce Honours: Financial 16400 7 "180 G G G G G G G G G G G G G G G GManagement Sciences

Bachelor of Commerce Honours: Agribusiness 16486 7 "160 G G G G G G G G G G G G G G G GManagement

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Qualification title 10 No. o Category II and IIAl; ~< Co!. s:

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Bachelor of Commerce Honours: Investment 16955 7 120 G G G G G G G G G G G G G G G GManagement

Bachelor in Management Leadership (BML) 16994 7 120/ G G G G G G Gi G G G G G G G G G360

Bachelor of Commerce Honours: Financial 18974 7 160 G G G G G G G G G G G G G G G GManagement

Bachelor of Commerce Honours: Financial 19960 7 120 G G G G G S S S S S S S G G G GAnalysis and Portfolio Management

Bachelor of Commerce Honours: Financial 19962 7 120 G G G G G G G G G G G G G G G GManagement

Advanced Diploma: Insurance Management 20351 7 120 G G G G G G Gi G G G G G G G - G

Post-Graduate Diploma in Account Practice 20391 7 240 G G G G G G G G G G G G G G G G

Post-Graduate Professional Qualification: 20392 7 480 G G G G G G G G G G G G G G G GProfessional Accountant in Business

Bachelor of Laws 22993 7 480 G G G G G G G G G G G G G G G G

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Qualification title IDNo.0 Category II and IIA.... iilCD

< Q.~ it

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 21 2.11 2.12 2.13 2.14 IIA KI

Diploma: Company Direction 36050 7 240 G G G G G G G G G G G G G G G G

Postgraduate Diploma: Financial Planning 48866 7 160 G S S S S G G G G G G S G G G G(Differs according to provider)

Postgraduate Diploma: Financial Planning 48866 7 120 G G G G G G G G G G G G G G G G(Differs according to provider)

~dvanced Postgraduate Diploma: Financial 48867 7 120 G G S S S G G G G G G S G G G GPlanning

Chartered Accountant: Financial Management 48912 7 698 G G G G G G G G G G G G G G G G

Chartered Accountant: Auditing 48913 7 679 G G G G G G G G G G G G G G G G

Bachelor of Commerce Honours: Financial 50148 7 120 S S S S S G G G G G G G G G G GPlanning

Certified Financial Planner (CFP®) 59235 7 120 G S S S G G G G G G G S G G G G

Professional Postgraduate Qualification: 60654 7 120 G G G G G G G G G G G G G G G GCompany Secretarial and Governance

~L-Practice

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Qualification title IDNo.0 Category" and IIA

r-CD Cil.~ c.!t it

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Bachelor of Technology: Internal Auditing 65341 7 480 G G G G G G G G G G G G G G G G

Bachelor of Technology: Marketing 72429 7 480 G G G G G G G G G G G G G G G G

Doctor of Commerce: Investment Management 3133 8 360 G G G G G G G G G G G G G G G G

Master of Commerce: Investment Management 3135 8 240 G G G G G G G G G G G G G G G G

Master of Commerce: Banking 4807 8 300 G G G G G G G G G G G G G G G G

Doctor of Commerce: Insurance Science 4887 8 144 G G G G G G G G G G G G G G G G

Master of Business Administration 4909 8 300 G G G G G G G G G G G G G G G G

Master of Business Administration 5047 8 120 G G G G G G G G G G G G G G G G

Master of Business Administration 9257 EI 240 G G G G G G G G G G G G G G G G

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l; ..III< Co

!e. iff2.1 2.2 2.3 2.4 2.5 2.6 :r; 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Doctor of Commerce: Banking 16574 8 300 G G G G G G G G G G G G G G G GI

Master of Business Administration: Telematic 19606 8 288 G G G G G G G G G G G G G G G G

Master of Business Management and 19608 8 120 G G G G G G G G G G G G G G G Gfl\dministration

Master of Business Administration: Tourism 36072 8 440 G G G G G G G G G G G G G G G GDevelopment

Master: Business Administration: General 36078 B 200 G G G G G G G G G G G G G G G G

Master: Business Administration 62271 B 233 G G G G G G G G G G G G G G G G

Chartered Financial Analyst (CFA) FSB001 - - S S S S S S S S S S S S S S S S(Foreign Qualification)

f-Iternative Investment Specialist (CAlA) FSB 002 - - G G G G G G G G G G G G G G G G(Foreign Qualification)

Fellowship of the CII (Chartered Insurance FSB 006 . - G G G G G G G G G G G G G G G GInstitute)(Foreign Qualification)

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Qualification title IDNo. e)Category II and IIA

rCD iil< c.~ it

2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.9 2.10 2.11 2.12 2.13 2.14 IIA KI

Associate ship of the CII (Chartered Insurance FSB 007 - - G G G G G G G G G G G G G G G GInstitute)(Foreign Qualification)

International Diploma in Compliance FSB 010 - - G G G G G G G G G G G G G G G G

lAcI Dealing Certificate FSB 012 - - - - - - - - G - - - G - - - - -

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Section 3:

List 5: Qualifications recognised for Category III FSPs


Category IIIF ...q) III< Co~!. it

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Higher Certificate in Financial Markets and FSB 028 - - G G G G G G G G G G G G G G -Instruments (Historical Qualification)

Bachelor of Commerce: General FSB 029 6 360 G G G G G G G G G G G G G G GUniversity of Transkei/ Walter Sisulu University

National Diploma: Economic Management 961 6 360 G G G G G G G G G G G G G G GAnalysis

National Diploma: Banking 977 6 360 G G G G G G G G G G G G G G G

National Diploma: Cost and Management 1061 6 360 G G G G G G G G G G G G G G GAccounting

National Diploma: Internal Auditing 2165 6 360 G G G G G G G G G G G G G G G

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Category IIIrIII @< c.!. ii

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Bachelor of Agricultural Management 2483 6 384 G G G G G G G G G G G G G G G

Bachelor of Accounting 2549 6 384 G G G G G G G G G G G G G G G

Bachelor of Social Science 2961 6 384 G G G G G G G G G G G G G G G

Bachelor of Commerce: Accounting 3095 6 432 G G G G G G G G G G G G G G G

Bachelor of Commerce: Finance 3117 6 432 G G G G G G G G G G G G G G G

Bachelor of Commerce: Industrial Psychology 3255 6 432 G G G G G G G G G G G G G G G

Bachelor of Commerce: Economics and Law 4427 6 432 G G G G G G G G G G G G G G G


Bachelor of Accounting Science 5535 6 408 G G G G G G G G G G G G G G G

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Qualification title ICHo. o Category IIIl; ~0<: Q.!!. it

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Bachelor of Commerce 5563 6 384 G G G G G G G G G G G G G G G

Baccalaureas Procurationis 5997 6 432 G G G G G G G G G G G G G G G


Bachelor of Laws/ Bachelor Legum 6875/ 6 360 G G G G G G G G G G G G G G G6877

Bachelor of Commerce: Banking 7039 6 430 G G G G G G G G G G G G G G G

Bachelor of Commerce: Economics 7263 6 360 G G G G G G G G G G G G G G G

Bachelor of Administration 7333 6 360 G G G G G G G G G G G G G G G


Bachelor of Commerce: Monetary Economics 7895 6 360 G G G G G G G G G G G G G G G

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Qualification title IDNo. o Category IIII iill1)

< Co!l it

3.1 3.2 3.3 3.4 3.5 3.6 :3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI


Bachelor of Economics 8613 6 536 G G G G G G G G G G G G G G G

Bachelor of Law 8877 6 480 G G G G G G G G G G G G G G G


Bachelor of Commerce: Law 9878 6 360 G G G G G G G G G G G G G G G

Bachelor of Banking 14375 6 504 G G G G G G G G G G G G G G G

Bachelor of Commerce: Accountancy 14779 6 384 G G G G G G G G G G G G G G G



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Qualification title rCNo. o Category 11/r

~III< Q.

~ ~

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Bachelor of Commerce 15337 6 384 G1

G G G G G G G G G G G G G G

IBachelor of Accountancy 15506 6 384 G G G G G G G G G G G G G G G

Bachelor of Commerce: Law 15594 6 369 G G G G G G G G G G G G G G G

Bachelor of Science: Actuarial Science 16253 6 384 G G G G G G G G G G G G G G G

Bachelor of Commerce: Investment Management 16386 6 473 G G G G G G G G G G G G G G G

Bachelor of Commerce: Agribusiness 16441 6 421 G G G G G G G G G G G G G G GManagement

B.Com (General Management) 16912 6 536 G G G G G G G G G G G G G G G

Bachelor of Commerce: Banking 16913 6 536 G G G G G G G G G G G G G G G

Bachelor of Commerce: Marketing 16915 6 536 G G G G G G G G G G G G G G G

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Qualification title 10No. 0CategoryIII

r ...l'P l'P< Co~ i1

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Bachelor of Commerce: Agricultural Economics 16927 6 568 G G G G G G G G G G G G G G G

B.Com (Risk Management) 16936 6 528 G G G G G G G G G G G G G G G

Diploma in Management Leadership (DML) 16991 6 360 G G G G G G G G G G G G G G G

Bachelor of Commerce: Accounting Sciences 19584 6 386 G G G G G G G G G G G G G G G

Bachelors of Commerce: Management Sciences 19587 6 370 G G G G G G G G G G G G G G G

Bachelor of Economics: Economics and 19592 6 370 G G G G G G G G G G G G G G GManagement

Bachelor of Military Science 19669 6 360 G G G G G G G G G G G G G G G

Bachelor of Arts (Law) 23375 6 360 G G G G G G G G G G G G G G G

National Diploma: Financial Markets 23653 6 240 G G G G G G G G G G G G G G G

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Qualification title 10 No. o Category IIIr ...II) II)< Co~ ij

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Diploma: Accounting & BusinessAdministration 24326 6 360 G G G G G G G G G G G G G G GI

Diploma: Marketing 24327 6 350 G G G G G G G G G G G G G G G

Diploma: Management 35957 6 420 G G G G G G G G G G G G G G G

Certificate: Business Management 36045 6 120 G G G G G G G G G G G G G G G

National Certificate: FinancialMarkets & 50481 6 120 G G G G G G G G G G G G G G GInstruments

NationalDiploma: Management (Accountancy) 57222 6 240 G G G G G G G G G G G G G G G

NationalCertificate: Financial Planning 57695 6 120 G G G G G G G G G G G G G G G

Bachelorof Commerce: Banking Management 58005 6 363 G G G G G G G G G G G G G G G

Associate Financial Planner (AFpTM) 59233 6 120 G G G G G G G G G G G G G G G

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Qualification title 10 No. o Category IIII'""

Cil(II< Co~ ii

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Higher Diploma: Banking 59830 6 240 G G G G G G G G G G G G G G G

Bachelor in Business Administration 59850 6 360 G G G G G G G G G G G G G G G

fA,dvanced Diploma: Management 62270 6 120 G G G G G G G G G G G G G G G

Higher Diploma: Banking 62810 6 240 G G G G G G G G G G G G G G G

Bachelor of Commerce: Banking Management 62812 6 363 G G G G G G G G G G G G G G G

National Diploma: Marketing 65306 6 360 G G G G G G G G G G G G G G G

National Diploma: Cost and Management 72220 6 360 G G G G G G G G G G G G G G GfA,ccounting

National Diploma in Management 72610 6 360 G G G G G G G G G G G G G G G

Certificate: Wealth Management 73350 6 1'!0 G G G G G G G G G G G G G G G

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Qualification title IDNo. o Category IIIr- iilCll< Q.

~ i13.1 3.2 3.3 3.4 3.5 3.6 3.i' 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Bachelor of Science: Mathematical Statistics 624691 6 360 G G G G G G G G G G G G G G G17398

Registered Persons Exam: Specialisation in the FSB 030 6 N/A G G G G G G G G G G G G G G GEquity Market


Registered Persons Exam: Specialisation in the FSB 031 6 N/A G G G G G G G G G G G G G G GBond Market (Compliance):


Registered Persons Exam: Specialisation in the FSB 032 6 N/A G G G G G G G G G G G G G G GBond Market (Trader)


Registered Persons Exam: Specialisation in the FSB 033 6 N/A G G G G G G G G G G G G G G GFutures Market:


Registered Persons Exam: Specialisation in the FSB 034 6 N{A G G G G G G G G G G G G G G GlYield - X Market:


Registered Persons Exam: Specialisation in the FSB 035 6 N/A G G G G G G G G G G G G G G GCurrency Derivatives Market (Advice):


Registered Persons Exam: Specialisation in the FSB 036 6 N/A G G G G G G G G G G G G G G GCurrency Derivatives Market (Trader):


Registered Persons Exam: Specialisation in the FSB 037 6 N{A G G G G G G G G G G G G G G GForeign Exchange Market:


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Qualification title IDNo. o Category 11/r aCD< Co~ ~

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Registered Persons Exam: Specialisation in the FSB 038 6 N/A G G G G G G G G G G G G G G GMoney Market:. Must include the 3 prescribed modules

Registered Persons Exam: Agricultural Products FSB 039 6 N/A G G G G G G G G G G G G G G G. Must include the 3 prescribed modules

Bachelor of Commerce: Financial Planning FSB 040 6 - G G G G G G G G G G G G G G G

Bachelor of Technology: Banking (ID 57202) 1019 7 480 G G G G G G G G G G G G G G G

Bachelor of Technology: Marketing 1325 7 480 G G G G G G G G G G G G G G G

Bachelor of Accounting Honours 2559 7 128 G G G G G G G G G G G G G G G

Postgraduate Diploma: Finance Banking and 2629 7 128 G G G G G G G G G G G G G G GInvestment Management

Bachelor of Commerce Honours: Accounting 3093 7 120 G G G G G G G G G G G G G G G

Bachelor of Commerce Honours: all 3093 7 120 G G G G G G G G G G G G G G Gspecialisations

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Qualification title 10No.0 Category III

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< Q.~ it

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3+Bachelors of Commerce Honours: Accounting 3095 7 120 G G G G G G G G G G G G G G G

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Bachelor of Commerce Honours: Investment 3137 7 160 G G G G G G G G G G G G G G GManagement

Bachelor of Business Science: Accounting 4403 7 576 G G G G G G G G G G G G G G G

Bachelor of Business Science: Finance 4403 7 576 G G G G G G G G G G G G G G G

Bachelor of Business Science: Actuarial Science 4411 7 576 G G G G G G G G G G G G G G G

Postgraduate Diploma: Accounting 5191 7 120 G G G G G G G G G G G G G G G

Bachelor of Laws! Bachelor Legum 6015 7 480 G G G G G G G G G G G G G G G

ICSA Programme in Strategic Management and 7110-2 7 96 G G G G G G G G G G G G G G GCorporate Governance

..of CommerceHonours Bankinq 7215 7 200 G G G G G G G G G G G G G G G

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3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Postgraduate Certificate: Advanced Taxation 14547 7 240 G G G G G G G G G G G G G G G

Bachelor of Business Science: Economics 14784 7 544 G G G G G G G G G G G G G G G

Bachelor of Arts Honours: International Trade 14860 7 160 G G G G G G G G G G G G G G Gand Finance

Bachelor of Business Management and 15370 7 150 G G G G G G G G G G G G G G GV\dministration Honours

Bachelor of Commerce Honours: International 15415 7 160 G G G G G G G G G G G G G G GTrade and Finance

Bachelor of Arts Honours: Trade and 15475 7 160 G G G G G G G G G G G G G G GDevelopment

Post Graduate Diploma: Management Financial 15497 7 120 G G G G G G G G G G G G G G GV\ccounting

Bachelor of Commerce Honours: Financial 16400 7 180 G G G G G G G G G G G G G G GManagement Sciences

Bachelor of Commerce Honours: Agribusiness 16486 7 160 G G G G G G G G G G G G G G GManagement

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Qualification title 10 No.0 Category III

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Bachelor of Commerce Honours: Investment 16955 7 120 G G G G G G G G G G G G G G GManagement

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Bachelor in Management Leadership (BML) 16994 7 120/ G G G G G G G G G G G G G G G360

Bachelor of Commerce Honours: Financial 18974 7 160 G G G G G G G G G G G G G G GManagement

Bachelor of Commerce Honours: Financial 19960 7 120 G G G G G G G G G G G G G G G!Analysis and Portfolio Management

Bachelor of Commerce Honours: Financial 19962 7 120 G G G G G G G G G G G G G G GManagement

Bachelor of Commerce Honours: Information 19970 7 120 G G G G G G G G G G G G G G GSystems

Post-Graduate Diploma in Account Practice 20391 7 240 G G G G G G G G G G G G G G G

Post-Graduate Professional Qualification: 20392 7 480 G G G G G G G G G G G G G G GProfessional Accountant in Business

Bachelor of Laws 22993 7 480 G G G G G G G G G G G G G G G

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Qualification title 10No. o Category IIII ..CD CD< Co~ it

3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Diploma: Company Direction 36050 7 240 G G G G G G G G G G G G G G G

Postgraduate Diploma: Financial Planning 48866 7 160/ G G G G G G G G G G G G G G G(Depending on provider) 120

Advanced Postgraduate Diploma: Financial 48867 7 120 G G G G G G G G G G G G G G GPlanning

Chartered Accountant: Financial Management 48912 7 698 G G G G G G G G G G G G G G G

Chartered Accountant: Auditing 48913 7 679 G G G G G G G G G G G G G G G

Bachelor of Commerce Honours: Financial 50148 7 120 G G G G G G G G G G G G G G GPlanning

Certified Financial Planner (CFpTM) 59235 7 120 G G G G G G G G G G G G G G G

Professional Postgraduate Qualification: 60654 7 120 G G G G G G G G G G G G G G GCompany Secretarial and GovernancePractice

Bachelor of Technology: Internal Auditing 65341 7 480 G G G G G G G G G G G G G G G

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Qualification title rDNo.0 Category III

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3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

Bachelor of Technology: Marketing 72429 7 480 G G G G G G G G G G G G G G G

Doctor of Commerce: Investment Management 3133 8 360 G G G G G G G G G G G G G G G

Master of Commerce: Investment Management 3135 8 240 G G G G G G G G G G G G G G G

Master of Commerce: Banking 4807 8 300 G G G G G G G G G G G G G G G

Doctor of Commerce: Insurance Science 4807 8 144 G G G G G G G G G G G G G G G

Master of Business Administration 4909 8 300 G G G G G G G G G G G G G G G



Doctor of Commerce: Banking 16574 8 300 G G G G G G G G G G G G G G G

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Category IIIr

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3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KJ

Master of Business Administration: Telematic 19606 8 288 G G G G G G G G G G G G G G G

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Master of Business Management and 19608 8 120 G G G G G G G G G G G G G G GAdministration

Master of Business Administration: Tourism 36072 8 440 G G G G G G G G G G G G G G GDevelopment

Master: Business Administration: General 36078 8 200 G G G G G G G G G G G G G G G

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Master: Business Administration 62271 8 233 G G G G G G G G G G G G G G G

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Chartered Financial Analyst (CFA) FSB001 - - G G G G G G G G G G G G G G G(Foreign Qualification)

iAlternative Investment Specialist (CAlA) FSB 002 - - G G G G G G G G G G G G G G G(Foreign Qualification)

Chartered Insurance Institute (CII): Fellowship FSB 006 - - G G G G G G G G G G G G G G G(Foreign Qualification)

IAssociateship of the CII (Chartered Insurance FSB 007 - - G G G G G G G G G G G G G G GInstitute) (Foreign Qualification)

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Qualification title 10No. o Category JJIr (iJCD< Q.

~ ti3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3,12 3,13 3,14 KI

InternationalDiplomain Compliance FSB 010 - - G G G G G G G G G G G G G G G

~CI Dealing Certificate FSB 012 - - - - - - - - G - - - G - - - -

List 6: Qualifications recognised for Category III FSPs for the translitional period only

The qualifications included in the list below will only be recognised up to and including 31 December 2009 in accordance to the Fit and ProperRequirements for Financial Services Providers, 2008 Part X.

Qualification title IDNo. o Qualifications recognised on~y for transitional period for Category JJIr <ilCD< Q.

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UNISA Programme: Risk Management FSB 021 6 108 G G G G G G G G G G G G G G -

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Qualifications recognised only for transitional period for Category III,-ii1co

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3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 KI

UNISA Programme: Banking FSB 020 6 96 G G G G G G G G G G G G G G .

Senior Management Programme FSB 027 7 . G G G G G G G G G G G G G G G

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Section 4:

Llst 7: Qualifications recognised for Category IV FSPs

Qualification title IDNo. Level Credits Category IV KI

Higher Certificate in Financial Markets and Instruments FSB 028 - - G -(Historical Qualification)

National Certificate: Insurance Administration 14653 2 120 G G

National Certificate: Financial Services 48783 2 120 G G

Certificate: Banking 20185 4 120 G G

Certificate: Financial Products 21166 4 120 S G

Further Education and Training Certificate: Long-term 49649 4 140 G GInsurance

Further Education and Training Certificate: Short-term 49929 4 150 G GInsurance

Further Education and Training Certificate: Wealth 57917 4 150 G GManagement

Diploma in Business Management (Historical FSB 041 5 N/A G GQualification)

Associateship Certificate: Building Societies Institute of FSB042 5 N/A G GSouth Africa (Historical Qualification)

National Higher Certificate: Banking 1213 5 240 G G

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Qualification title 10 No. Level Credits Category IV KI

National Certificate: Banking 1217 5 120 G G

Diploma: Investment Management 3139 5 240 G G

liSA Programme: Life Insurance 7150-1 5 120 G G


Diploma: Banking 14373 5 384 G G

Certificate in Management and Leadership (CML) 17001 5 120 G G

National Certificate: Banking 20186/ 61589 5 120 G G

Diploma: Treasury: International Banking 20334 5 240 G G

Diploma: Accounting Technician 20402 5 252 G G

Higher Certificate: Short-term Insurance 20411 5 120 G G


Certificate: Management Development 22151 5 120 G G

National Certificate: Business Studies 22452 5 120 - G

Certificate: Local Government 23616 5 120 G G

Certificate: Practical Management 36047 5 163 G G

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Certificate: Banking Services Advice 48533 5 120 G G

National Diploma: Financial Services Long Term Risk 49860 5 245 G GAssessment

National Certificate: Wealth Management 57608 5 120 G G

Certificate: Banking (Financial Services) 57639/ 62794 5 120 G G

National Certificate: Short-term Insurance 57918 5 120 G G

Certificate: Financial Planning 57998 5 120 S G

National Certificate: Banking Services Advice 58002/ 62811 5 131 G G

Diploma: Business Management 58341 5 240 G G

National Certificate: Generic Management 59201 5 162 G G

Registered Financial Planner (RFpTM) 59234 5 120 G G

Certificate: Bank Credit 59829/62813 5 120 G G

Certificate: Technology Management & Innovation 59449 5 120 G G

National Certificate: Banking 61589 5 120 G G

Certificate: Management Development 62269 5 120 G G

Certificate: Sales: Banking Services 65170 5 120 G -

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Qualification title IONo. Level Credits Category IV KI


--National Diploma: Economic Management Analysis 961 6 360 G G

National Diploma: Banking 977 6 360 G G

National Diploma: Cost and Management Accounting 1061 6 360 G G

National Diploma: Internal AUditing 2165 6 360 G G

Bachelor of Agricultural Management 2483 6 384 G G

Bachelor of Accounting 2549 6 384 G G

Bachelor of Social Science 2961 6 384 G G

Bachelor of Commerce: Accounting 3095 6 432 G G

Bachelor of Commerce: Finance 3117 6 432 G G

Bachelor of Commerce: Industrial Psychology 3255 6 432 G G

Bachelor of Commerce: Economics and Law 4427 6 432 G G


Bachelor of Accounting Science 5535 6 408 G G

Bachelor of Commerce 5563 6 384 G G

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Qualification title 10No. Level Credits Category IV KI

Baccalaureas Procurationis 5997 6 432 G G

Bachelorof Commerce 6153 6 360 G G

Bachelorof Laws/ BachelorLegum 6875/ 6 360 G G6877

Bachelorof Commerce: Banking 7039 6 430 G G I

Bachelorof Commerce: Economics 7263 6 360 G G

Bachelorof Administration 7333 6 360 G G


Bachelorof Commerce: Monetary Economics 7895 6 360 G G


Bachelorof Economics 8613 6 536 G G

Bachelorof Law 8877 6 480 G G


Bachelorof Commerce: Law 9878 6 360 G G

Bachelorof Banking 14375 6 504 G G

Bachelorof Commerce: Accountancy 14779 6 384 G G

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Qualification title IDNo. level Credits Category IV KI




Bachelor of Accountancy 15506 6 384 G G

Bachelor of Commerce: Law 15594 6 369 G G

Bachelor of Science: Actuarial Science 16253 6 384 G G

Bachelor of Commerce: Investment Management 16386 6 473 G G

Bachelor of Commerce: Banking 16913 6 536 G G

Bachelor of Commerce: General Management 16912 6 536 G G

Bachelor of Commerce: Marketing 16915 6 536 G G

Bachelor of Commerce: Agribusiness Management 16441 6 421 G G

Bachelor of Commerce: Agricultural Economics 16927 6 568 G G

Bachelor of Commerce: Risk Management 16936 6 528 G G

Diploma in Management Leadership (DML) 16991 6 360 G G

Bachelor of Commerce: Accounting Sciences 19584 6 386 G G

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Bachelors of Commerce: Management Sciences 19587 6 370 G G

Bachelor of Economics: Economics and Management 19592 6 370 G G

Bachelor of Military Science 19669 6 360 G G

Bachelor of Arts (Law) 23375 6 360 I G G

National Diploma: Financial Markets 23653 6 240 G G

Diploma: Accounting & Business Administration 24326 6 360 G G

Diploma: Marketing 24327 6 350 G G

Diploma: Management 35957 6 420 G G

Certificate: Business Management 36045 6 120 G G

National Certificate: Financial Markets and Instruments 50481 6 120 G G

National Diploma: Management (Accountancy) 57222 6 240 G G

National Certificate: Financial Planning 57695 6 120 G G

Bachelor of Commerce: Banking Management 58005 6 363 G G

Associate Financial Planner (AFpTM) 59233 6 120 G G

Higher Diploma: Banking 59830 6 240 G G

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Bachelor in Business Administration 59850 6 360 G G

Advanced Diploma: Management 62270 6 120 G G

Higher diploma: Banking 62810 6 240 G G

Bachelor of Commerce: Banking Management 62812 6 363 G G

National Diploma: Marketing 65306 6 360 G G

National Diploma: Cost and Management Accounting 72220 6 360 G G

National Diploma in Management 72610 6 360 G G

Certificate: Wealth Management 73350 6 120 G G

Bachelor of Commerce: General FSB 029 6 360 G GUniversity of Transkei{ Walter Sisulu University

Bachelor of Science: Mathematical Statistics 62469{17398 6 360 G G

Registered Persons Exam: Specialisation in the Equity FSB 030 6 N{A G GMarket

· Must include the 3 prescribed modulesRegistered Persons Exam: Specialisation in the Bond FSB 031 6 N{A G GMarket (Compliance):

· Must include the 3 prescribed modulesRegistered Persons Exam: Specialisation in the Bond FSB 032 6 N{A G GMarket (Trader)

· Must include the 4 prescribed modulesRegistered Persons Exam: Specialisation in the Futures FSB 033 6 N{A G GMarket:


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Registered Persons Exam: Specialisation in the Yield - X FSB 034 6 N/A G GMarket:

· Must include the 5 prescribed modulesRegistered Persons Exam: Specialisation in the Currency FSB 035 6 N/A G GDerivatives Market (Advlce):

· Must include the 4 prescribed modulesRegistered Persons Exam: Specialisation in the Currency FSB 036 6 N/A G GDerivatives Market (Trader):

· Must include the 3 prescribed modulesRegistered Persons Exam: Specialisation in the Foreign FSB 037 6 N/A G GExchange Market:

· Must include the 3 prescribed modulesRegistered Persons Exam: Specialisation in the Money FSB 038 6 N/A G GMarket:

· Must include the 3 prescribed modulesRegistered Persons Exam: Agricultural Products FSB 039 6 N/A G G


Bachelor of Commerce: Financial Planning FSB 040 6 - G G

Bachelor of Technology: Banking (1057202) 1019 7 480 G G

Bachelor of Technology: Marketing 1325 7 480 G G

Bachelor of Accounting Honours 2559 7 128 G G

Post-Graduate Diploma: Finance Banking and Investment 2629 7 128 G GBanking

Bachelor of Commerce Honours: all specialisations 3093 7 120 G G

Bachelors of Commerce Honours: Accounting 3095 7 120 G G

Bachelor of Commerce Honours: Investment 3137 7 160 G GManagement

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Qualification title 10 No. Level Credits Category IV KJ

Bachelor of Business Science: Specialisation in 4403 7 576 G GAccounting

Bachelor of Business Science: Specialisation in Finance 4403 7 576 G G

Bachelor of Business Science: Actuarial Science 4411 7 576 G G

Postgraduate Diploma: Accounting 5191 7 120 G G

Bachelor of lE.wsj Bachelor Legum 6015 7 480 G G

Bachelor of Commerce Honours: Banking 7215 7 200 G G

ICSA Programme in Strategic Management and 7110-2 7 96 G GCorporate Governance

Postgraduate Certificate: Advanced Taxation 14547 7 240 G G

Bachelor of Business Science: Economics 14784 7 544 G G

Bachelor of Arts Honours: International Trade and 14860 7 160 G GFinance

Bachelor of Business Management and Administration 15370 7 150 G GHonours

Bachelor of Commerce Honours: International Trade and 15415 7 160 G GFinance

Bachelor of Arts Honours: Trade and Development 15475 7 160 G G

Post Graduate Diploma: Management Financial 15497 7 120 G G~ccounting

Bachelor of Commerce Honours: Financial Management 16400 7 180 G GSciences

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Bachelor of Commerce Honours: Investment 16955 7 120 G GManagement

Bachelor in Management Leadership (BML) 16994 7 120/360 G G

Bachelor of Commerce Honours: Financial Management 18974 7 160 G G

Bachelor of Commerce Honours: Financial Analysis and 19960 7 120 G G IPortfolio Management

Bachelor of Commerce Honours: Financial Management 19962 7 120 G G

Post-Graduate Diploma: Account Practice 20391 7 240 G G

Post-Graduate Professional Qualification: Professional 20392 7 480 G GAccountant in Business

Bachelor of Laws 22993 7 480 G G

Diploma: Company Direction 36050 7 240 G G

Post-Graduate Diploma: Financial Planning (Depending 48866 7 120/160 G Gon provider)

Advanced Postgraduate Diploma: Financial Planning 48867 7 120 G G

Chartered Accountant: Financial Management 48912 7 698 G G

Chartered Accountant: Auditing 48913 7 679 G G

Bachelor of Commerce Honours: Financial Planning 50148 7 120 G G

Certified Financial Planner (CFP®) 59235 7 120 G G

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Qualification title 10 No. Level Credits Category IV KJ

Professional Postgraduate Qualification: Company 60654 7 120 G GSecretarial and Governance Practice

Bachelor of Technology: InternalAuditing 65341 7 480 G G

Bachelor of Technology: Marketing 72429 7 480 G G

Doctor of Commerce: Investment Management 3133 8 360 G G

Master of Commerce: Investment Management 3135 8 240 G G

Master of Commerce: Specialisation in Banking 4807 8 300 G G

Doctor of Commerce: Specialisation in Insurance 4887 8 144 G GScience

Master of Business Administration 4909 8 300 G G

Master of BusinessAdministration 5047 8 120 G G

Master of Business Administration 9257 8 240 G G

Doctor of Commerce: Banking 16574 8 300 G G

Master of Business Administration:Telematic 19606 8 288 G G

Master of Business Managementand Administration 19608 8 120 G G

Master of Business Administration:Tourism Development 36072 8 440 G G

Master: Business Administration: General 36078 8 200 G G

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Master: Business Administration 62271 8 233 G G

Chartered Financial Analyst (CFA) FSB 001 - - S S(Foreign Qualification)

Chartered Insurance Institute (CII): Certificate in FSB 003 - - G GInsurance (Foreign Qualification)

Chartered Insurance Institute (CII): Diploma in Insurance FSB 004 - - G G(Foreign Qualification)

Chartered Insurance Institute (CII): Advanced diploma in FSB 005 - - G GInsurance (Foreign Qualification)

Chartered Insurance Institute (CII): Fellowship FSB 006 - - G G(Foreign Qualification)

Associate ship of the CII (Chartered Insurance Institute) FSB 007 - - G G(Foreign Qualification)

International Certificate in Financial Advice FSB 009 - - G -

International Diploma in Compliance FSB 010 - - G G

UK Chartered Insurance Institute Certificate in Financial FSB 011 - - G GPlanning

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List 8: Specified subject(s) / module(s) / unit standard(s) based qualifications recognised for Category IVFSPs

The qualifications included in the list below must contain the subjects / modules / unit standards as specified below in order to be recognised.


Further Education and Training Certificate: Banking 20185 4 120

· This qualification is recognised ff it contains the following unit standards: 230071,230075,242655,252203,242815, 110028,242658,242657,120127, 13379, 117156, 114759,243137, 252191, 7223, 14963, 12456, 117709,242584,242593.

· To be recognised for short-term insurance the following electives will apply: 120011, 119679,2426'53, 120114,243137, 117121

· To be recognised for long-term insurance the following electives will apply: 117126, 119261, 11718

· To be recognised for short-term and long-term deposits the following electives will apply: 7223, 7231, 7236, 114759, 117156

· Please note: This SAQA ID for this qualffication is the same as for the National Certfficate: Banking (20185) NQF level 4

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List 9: Qualifications recognised for Category IV FSPs for the transitional period only

The qualifications included in the list below will only be recognised up to and including 31 December 2009 in accordance to the Fit and ProperRequirements for Financial Services Providers, 2008 Part X.

Qualification title IDNa. Level Credits Category IV

Certificate of Proficiency: Long-term basic (Category B FSB 017 4 N/A GProgramme)

UNISA Certificate in Financial Management FSB 019 6 60 G

UNISA Programme: Banking FSB 020 6 96 G

UNISA Programme: Risk Management FSB 021 6 108 G

UNISA Advanced Programme: Bank Credit FSB 026 7 96 G

Senior Management Programme FSB 027 7 N/A G

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90 No.33052 GOVERNMENT GAZErrE, 26 MARCH 2010



FINANCIAL ADVISORY AND INTERMEDIARY SERVICES ACT, 2002

(ACT NO. 37 OF 2002)

EXEMPTION OF DEUTSCHE BANK (MAURITIUS) LIMITED

I, Dube Phineas Tshidi, Registrar of Financial Services Providers, hereby exemptunder section 44(4) of the Financial Advisory and Intermediary Services Act, 2002(Act No. 37 of 2002), Deutsche Bank (Mauritius) Limited to the extent and subjectto the conditions set out in the Schedule.

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SCHEDULE

EXEMPTION OF DEUTSCHE BANK (MAURITIUS) LIMITED

Definitions

1. In this Schedule, ''the Act" means the Financial Advisory and IntermediaryServices Act, 2002 (Act No. 37 of 2002), any word or expression to which ameaning is assigned in the Act shall have that meaning, and unless the contextotherwise indicates-

"client", in relation to Deutsche Bank (Mauritius), means persons that were

clients of Deutsche Bank (Mauritius) prior to a disaster;

"Deutsche Bank (Mauritius)" means Deutsche Bank (Mauritius) Limited;

"disaster" means-

(a) a natural catastrophe in Mauritius;(b) the outbreak of a pandemic affecting Mauritius;(c) damage or loss to the building or part of the building that Deutsche Bank

(Mauritius) occupies in Mauritius;(d) riots and civil unrest in Mauritius; and

STAATSKOERANT, 26 MAART 2010 No.33052 91

(e) any other event which disrupts the normal business activity of DeutscheBank (Mauritius) in Mauritius.;

.Extent of exemption and condition

3. (1) Deutsche Bank (Mauritius) is exempted from section 7(1) of the Act, whenrendering financial services to a client in the event of a disaster, subject to thefollowing condition-

(a) Deutsche Bank (Mauritius) must immediately advise the Registrar ofany change to the particulars furnished in its exemption application.

(2) This exemption shall, subject to paragraph 4, be valid for a period of 5 yearsfrom the date referred to in paragraph 5.

Amendment and withdrawal of exemption and conditions

4. The "xem......·I" ...... " ... conomo ...,,," menno..... """',., i ........... ,.... .. ,..",.....__ 1.... " ar" s' ·..... lee... +-I II '0 pL VII VI UIIVILlVII;:) III I ILiVII'OV III pal aH' apll o '0 vUJ vL LV-

(a) amendment thereof published by the Registrar by notice in theGazette; and

(b) withdrawal in like manner.

Short title and commencement

5. This Exemption is called the Exemption of Deutsche Bank (Mauritius), 2010,and comes into operation on the date of publication in the Gazette.

Pretoria, 26 March 2010 Maart - Open Gazettes South Africa...2010/03/26 · STAATSKOERANT, 26 MAART 2010 BOARD NOTICES BOARD NOTICE 39 OF 2010 FINANCIAL SERVICES BOARD FINANCIAL ADVISORYAND

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