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It emphasizes using this material alongside relevant board notices and statutes rather than relying on it alone. The guide outlines the FAIS Act purpose, structure, key role-players, duties and powers, record-keeping, authorization and ongoing provider obligations, and how to communicate with the Registrar, including updated requirements affecting the FSP.",{"@graph":69,"@context":122},[70,84,105],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/re-5-self-study-guide-representatives-september-2018/393622/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/re-5-self-study-guide-representatives-september-2018/393622.png","ImageObject",300,407,{"name":92,"@type":93},"Chumphorn","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-10-29","2026-09-26",true,{"@type":102,"interactionType":103,"userInteractionCount":24},"InteractionCounter",{"@type":104},"ViewAction",{"@type":106,"mainEntity":107},"FAQPage",[108,114,118],{"name":109,"@type":110,"acceptedAnswer":111},"How should candidates use this study material for RE 5?","Question",{"text":112,"@type":113},"Use it in conjunction with all relevant board notices and statutes. 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Relying exclusively on this study material will not prepare you sufficiently for the regulatory examination. The assessment questions are intended to assist you in determining the extent to which you have integrated the required knowledge and whilst every effort has been made to provide questions that mirror the examination question, we cannot guarantee that these questions reflect the exact examination questions.  \nTABLE  \nOF CONTENTS  \n1. The FAIS Act as a Regulatory Framework................................................................................................8  \n1.1 The FAIS Act and Subordinate Legislation ................................................................................................................8  \n1.1.1 Purpose ............................................................................................................................................................................ 8  \n1.1.2 The Purpose of the FAIS Act ........................................................................................................................................... 8  \n1.1.3 Overview of the FAIS Act ................................................................................................................................................ 8  \n1.1.4 The Role-players in the FAIS Act ..................................................................................................................................... 9  \n1.1.5 The Role-players’ Duties and Power in the FAIS Act................................................................................................... 10  \n1.1.6 The Purpose of the Financial Sector Regulatory Act, 2017 (FSR Act) ....................................................................... 10  \n1.1.7 Authorisation of Financial Services Providers .............................................................................................................. 12  \n1.1.8 Duties of Authorised Financial Services Providers ....................................................................................................... 12  \n1.1.9 Maintenance of Records ............................................................................................................................................. 13  \n1.1.10 Commencement of Short Title ..................................................................................................................................... 13  \n1.2 FAIS Act integration with other FSCA (FSB) Legislation ......................................................................................... 18  \n1.2.1 An Authorised Financial Services Provider must –...................................................................................................... 18  \n1.2.2 Control Measures .......................................................................................................................................................... 18  \n1.3 Requirements when Interactions between FSP’s Take Place .............................................................................. 19  \n1.3.1 The Meaning of “Financial Institution”......................................................................................................................... 19  \n1.3.2 Relationships Between Different Industry Players ....................................................................................................... 21  \n1.3.3 Interrelationships Between FSPs and Co-Responsibilities ........................................................................................... 21  \n1.4 Departments of the Registrar’s Office Dealing with FSP Matters ........................................................................22  \n1.","cbCaicJNv4y5XjTd","https://ap.wps.com/l/cbCaicJNv4y5XjTd","pdf",6939643,321,"English","# The FAIS Act as a Regulatory Framework\n## The FAIS Act and Subordinate Legislation\n## FAIS Act integration with other FSCA (FSB) Legislation\n## Requirements when Interactions between FSP’s Take Place\n## Departments of the Registrar’s Office Dealing with FSP Matters\n## Interact with Registrar if and when Required\n## Correct Format of Communication with the Registrar\n## Processes to Remain Updated with regards to Requirements Affecting the FSP","[{\"question\":\"How should candidates use this study material for RE 5?\",\"answer\":\"Use it in conjunction with all relevant board notices and statutes. Relying exclusively on this study material will not prepare you sufficiently for the regulatory examination.\"},{\"question\":\"What is the role of the FAIS Act in this guide?\",\"answer\":\"The guide uses the FAIS Act as a regulatory framework, explaining its purpose, structure, and how it functions together with subordinate legislation.\"},{\"question\":\"What topics does the guide cover regarding authorized financial services providers (FSPs)?\",\"answer\":\"It covers authorization, duties of authorized FSPs, maintenance of records, and processes for remaining updated on requirements affecting the FSP.\"}]","RE 5 Self Study Guide Representatives - September 2018 | PDF",1790390934,809]