Legislation Handbook for Level 1 Regulatory Exams RE1/5
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A single source of reference for the information relevant to the regulatory exams 1 and 5.
Legislation Handbook for Level 1 Regulatory Exams provides the legislation relevant to the regulatory exams RE 1 and 5. It may also be useful as a professional reference work for those who have already passed the exams, e.g. compliance officers who need to keep up to speed with legislative changes. It should be used in conjunction with the Preparation Guide which includes the qualifying criteria provided by the FSCA for these exams. The qualifying criteria are cross-referenced to the relevant sections to be studied in this Legislation Handbook. The Preparation Guide can be dowloaded for free from the LexisNexis website.
Shaded tabs enable the user to easily identify the five sections of the work and the information is then grouped by subject matter area in order to assist you to find the relevant items quickly and easily. The 5th edition reflects the law as at 1 May 2018.
Table of contents
A: FAIS Act and Regulations
B: Code of Conduct
C: Fit and Proper
D: General Acts, Board Notices and Guidance Notes
E: FIC Act, Regulations, and Guidance notes.