Legislation Handbook for Regulatory Exams RE1/5 9th Ed
The Legislation Handbook for RE1/5 provides a complete repository of information relevant to the regulatory exams for representatives and key individuals in one concise work.
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Product description
The Legislation Handbook for RE1/5 provides a complete repository of information relevant to the regulatory exams for representatives and key individuals in one concise work.
This Legislation Handbook is the perfect resource for those preparing for regulatory exams RE 1 and 5 prescribed by the FSCA. It provides all the necessary legislation, guides, and notices, presented by subject matter area, to help users easily find the relevant material. The shaded tabs also aid quick navigation.
To get the most out of this handbook, use it alongside Moonstone's Preparation Guide, which outlines the FSCA's qualifying criteria and legislative material to be studied. This handbook can also serve as a valuable reference tool for compliance officers who need to stay up to date with legislative changes even after passing the exams.
The 9th Edition is available in print and ebook format, updated to February 2023.
Table of contents
A: FAIS Act and Regulations
B: Codes of Conduct
C: Fit and Proper
D: General Acts, Board Notices and Guidance Notes
E: FIC Act, Regulations, and Guidance notes.
