1. Matt-D Consulting The licensing “fais” Completing your FAIS license application forms (FSB forms)

2. Matt-D Consulting WHICH FORMS MUST I COMPLETE?  FSP 1 Everyone must complete this form Provide basic details of business structure, contact persons, banking account (NB: note the requirements in respect of a “trust account” – not normally applicable to a financial planner)

3. Matt-D Consulting  FSP 2 Everyone must complete this form Indicate “what” the license is required for – “product based” “Financial planners” will apply for items in Category I – important to consider the appropriate items and understand differences (see definitions on form and in Act) Anyone wishing to “manage investments” will apply for a license under Category II WHICH FORMS MUST I COMPLETE?

4. Matt-D Consulting  FSP 3 Complete one form for EACH of the following:  Directors  Shareholders  Members  Partners  Trustees WHICH FORMS MUST I COMPLETE?

5. Matt-D Consulting  FSP 4 Complete in respect of EACH key individual Must show fit and proper status of each key individual, to be assessed by FSB WHICH FORMS MUST I COMPLETE?

6. Matt-D Consulting  FSP 5 Complete in respect of EACH representative Only for record-keeping by FSB FSP responsible for assessing representative’s fit and proper status and keeping register WHICH FORMS MUST I COMPLETE?

7. Matt-D Consulting  FSP 5A Complete in respect of each key individual of each representative (i.e. where representative is a juristic person) WHICH FORMS MUST I COMPLETE?

8. Matt-D Consulting  FSP 6 Everyone must complete this form Details of compliance officer Very important: detail regarding how compliance officer will function independently WHICH FORMS MUST I COMPLETE?

9. Matt-D Consulting WHICH FORMS MUST I COMPLETE?  FSP 7 Operational ability needs to be shown Note the number of compliance and FICA questions See example FICA requirement – internal rules

10. Matt-D Consulting  FSP 8 Financial soundness must be shown Subject to exemption in Notice 96 of 2003 WHICH FORMS MUST I COMPLETE?

11. Matt-D Consulting  FSP 9 Details of external auditor to be provided Subject to exemption in Notice 96 of 2003 WHICH FORMS MUST I COMPLETE?

12. Matt-D Consulting  FSP 10 Details of nominee company or independent custodian Only relevant to “investment managers” and “LISPS” WHICH FORMS MUST I COMPLETE?

13. Matt-D Consulting  FSP 10A Details of shareholders, directors/trustees of nominee company or independent custodian Only relevant to “investment managers” and “LISPS” WHICH FORMS MUST I COMPLETE?

14. Matt-D Consulting  FSP 11 Only needed for FSP’s involved in forex investment business WHICH FORMS MUST I COMPLETE?

15. Matt-D Consulting  FSP 12 Complete only if an exemptions is being applied for WHICH FORMS MUST I COMPLETE?

16. Matt-D Consulting  FSP 13 Only submit if in-house compliance officer will be used and compliance officer not yet approved by FSB Application for approval as a compliance officer WHICH FORMS MUST I COMPLETE?

17. Matt-D Consulting  FSP 14A Everyone must complete this form Checklist of forms and declaration to be signed WHICH FORMS MUST I COMPLETE?

18. Matt-D Consulting  FSP 14B Summary of fees payable to FSB (if applying directly to FSB) WHICH FORMS MUST I COMPLETE?