Appendix 3  

LIST OF APPLICABLE LEGISLATION, REGULATIONS, CODES, STANDARDS, RULES, DIRECTIVES, CHARTERS, CIRCULARS AND NOTES

Investment Management, advice and administration

1. ASISA Code on Living Annuities
2. ASISA Standards Applicable to Third Party Portfolios
3. Collective Investment Schemes Control Act 45 of 2002
4. Financial Advisory and Intermediary Services Act 37 of 2002
5. Financial Institutions (Protection of Funds) Act 28 of 2001
6. Financial Intelligence Centre Act 38 of 2001
7. Financial Services Board Act 97 of 1990
8. Financial Services Ombud Schemes Act 37 of 2004
9. FSB Directives and Circulars (Not legislation)
10. FSB Pension Fund Directives
11. Inspection of Financial Institutions Act 80 of 1998
12. Intestate Succession Act 81 of 1987
13. JSE Ltd Rules and Directives
14. Pensions Funds Act 24 of 1956
15. Securities Services Act 36 of 2004
16. Trust Property Control Act 57 of 1988

Banking and Exchange Control

17. Banks Act 94 of 1990
18. Currencies and Exchanges Act 9 of 1993
19. Exchange Control Regulations of 1961

Employer-Employee

20. Basic Conditions of Employment Act 57 of 1997
21. Compensation for Occupational Injuries and Diseases Act 130 of 1993
22. Employment Equity Act 55 of 1998
23. Labour Relations Act 66 of 1995
24. Occupational Health and Safety Act 85 of 1993
25. Promotion of Equality and Prevention of Unfair Discrimination Act 4 of 2000
26. Protected Disclosures Act 26 of 2000
27. Skills Development Act 97 of 1998
28. Skills Development Levy Act 9 of 1999
29. Unemployment Insurance Act 63 of 2001
30. Unemployment Insurance Contributions Act 4 of 2002

 Revenue

31. Income Tax Act 58 of 1962
32. SARS Director Circulars and Notes
33. Securities Transfer Tax Act 25 of 2007
34. Securities Transfer Tax Administration Act 26 of 2007
35. Value Added Tax Act 89 of 1991

General

36. Broad-based Black Economic Empowerment Act 53 of 2003 and Financial Services Charter
37. Companies Act 71 of 2008
38. Constitution of RSA Act 108 of 1996
39. Consumer Affairs (Unfair Business Practices) Act 71 of 1988
40. Consumer Protection Act 68 of 2008
41. Copyright Act 98 of 1978
42. Electronic Communications and Transactions Act 25 of 2002
43. Insolvency Act 24 of 1936
44. King Code of Conduct for Corporate Governance (not legislation)
45. Long-Term Insurance Act 52 of 1998
46. Prevention and Combating of Corrupt Activities Act 12 of 2004
47. Prevention of Organised Crime Act 121 of 1998
48. Promotion of Access to Information Act 2 of 2000
49. Promotion of Administrative Justice Act 3 of 2000
50. Protection of Constitutional Democracy against Terrorist and Related Activities Act 33 of 2004
51. Protection of Personal Information Bill
52. Regulation of Interception of Communications and Provision of Communication-Related Information

Act 70 of 2002

53. Trade Marks Act 194 of 1993

Offshore

54. Foreign Account Tax Compliance Act (FATCA)
55. Financial Services Authority Handbook
56. GFSC Handbook for Financial Services Businesses on Countering Financial Crime and Terrorist

Financing

57. The Protection of Investors (Bailiwick of Guernsey) Law, 1987
58. UK Bribery Act 2010