A set of two works relevant to the regulatory exams 1 and 5.
Legislation Handbook for Level 1 Regulatory Exams provides the legislation specified as relevant to the regulatory exams RE 1 and 5. The Preparation guide includes the qualifying criteria provided by the FSB for these exams. The qualifying criteria are cross-referenced in the Preparation Guide to the relevant sections to be studied in this Legislation Handbook.
Shaded tabs enable the user to easily identify the four 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 4th edition reflects the law as at 15 April 2015.
Table of contents:
A: FAIS Act and Regulations
B: Codes of Conduct
C: General Acts, Board Notices and Guidance Notes
D: FIC Act, Regulations, Exemptions and Guidance notes.