Board Notice No. 27 of 2014

Financial Advisory and Intermediary Services Act No. 37 of 2002 » Financial Services Board » Notice of...

Title	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Financial Services Board » Notice of amendment of exemptions
Department	Board Notices
Gazette	National Gazettes, No. 37429 of 11 March, 2014, 2 page(s), 58.6Kb
Act	Act No. 37 of 2002

STAATSKOERANT, 11 MAART 2014                        No. 37429  3

BOARD NOTICE

NOTICE 27 OF 2014

FINANCIAL SERVICES BOARD

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

NOTICE ON AMENDMENT OF EXEMPTIONS

I, Caroline Dey da Silva, Deputy Registrar of Financial Services Providers, hereby under
                paragraphs 3(a) and 4(a) respectively of-

(a)   the Exemption of Banks in respect of Certain clients, 2004;
                (b)   the Exemption of Morgan Stanley and AMB Holdings in respect of Certain Clients,
                      2004;
                (c)   the Exemption of UBS South Africa and Deutsche Securities in respect of Certain
                      Clients, 2007;
                (d)   the Exemption of First Africa and RMB Investments and Advisory in respect of
                      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;
                (h)   the Exemption of The Bank of New York Melon in respect of Certain Clients, 2010;
                (i)   the Exemption of Marlow Advisors in respect of Certain Clients, 2010;
                (j)   the Exemption of African Alliance Securities in respect of Certain Clients, 2010;
                (k)   the Exemption of Allianz Global Investors Advisory and Allianz Global Investors
                      Europe in respect of Certain Clients, 2011;
                (I)   the Exemption of Raymond James & Associates and Raymond James Financial
                      International in respect of Certain Clients, 2011;
                (m)   the Exemption of Renaissance BJM Securities in respect of Certain Clients, 2011;
                (n)   the Exemption of Morgan Stanley Bank in respect of Certain Clients, 2011;
                (o)   the Exemption of ICAP Broking Services South Africa in respect of Certain Clients,
                      2011;
                (p)   the Exemption of San lam Capital Markets in respect of Certain Clients, 2011;
                (q)   the Exemption of Credit Suisse Securities (Europe) Ltd in respect of Certain Clients,
                      2012;
                (r)   the Exemption of Rothschild (South Africa) in respect of Certain Clients, 2012;
                (s)   the Exemption of Morgan Stanley & Co. International Plc in respect of Certain
                      Clients, 2011;
                (t)   the Exemption of Newman Lowther & Associates in respect of Certain Clients,
                      2011; and
                (u)   the Exemption of Advize Capital (Pty) Ltd in respect of Certain Clients, 2013,

amend paragraphs 2 and 3 respectively of the abovementioned Exemptions by the
                substitution for the date "1 March 2014" of the date "1 March 2015".

This Notice is called the Notice on Amendment of Exemptions, 2014, and comes into
                operation on 1 March 2014.

CD da Silva
                Deputy Registrar of Financial Services Providers

Related / Financial Advisory and Intermediary Services Act No. 37 of 2002

Dated	Title	Pages	Days
2015/03/31	Board Notices
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Amendment notice on the Determination of Qualifying Criteria and Qualifications for Financial Services Providers, 2014, Board Notice No. 76	104	<999
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Amendment of the Notice on Qualifications, Experience and Criteria for Approval as Compliance Officer, Board Notice No. 77	6
2015/03/24	National Treasury
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Determination of fees payable to the Registrar of Financial Services Providers, Government Notice No. 241	6
2014/12/04	Board Notices
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Amendment of the General Code of Conduct for Authorised Financial Services Providers and Representatives, Board Notice No. 146	2
2014/03/20	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Exemption of Original co-Sourcing SA (Pty) ltd trading as Orico SA (Pty) ltd (FSP no 22227), Board Notice No. 32	2
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Exemption of Bacci Trading (Pty) ltd (FSP no 808), Board Notice No. 33	2
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Exemption of Ima Traders 55 CC (FSP no 3905), Board Notice No. 34	2
2013/12/30	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Financial Services Board » Exemption of Alan Fisher and Associates CC (FSP no 11841), Board Notice No. 279	2
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Financial Services Board » Exemption of particular persons from the Level 1 Regulatory Examination, no 11 of 2013, Board Notice No. 280	3
●	Financial Advisory and Intermediary Services Act No. 37 of 2002 » Financial Services Board » Exemption of particular persons from the qualification requirements, no 5 of 2013, Board Notice No. 281	2

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Board Notice No. 27 of 2014

Related / Financial Advisory and Intermediary Services Act No. 37 of 2002

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