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

  1. Banks Act 94 of 1990
  2. Currencies and Exchanges Act 9 of 1993
  3. Exchange Control Regulations of 1961

Employer-Employee

  1. Basic Conditions of Employment Act 57 of 1997
  2. Compensation for Occupational Injuries and Diseases Act 130 of 1993
  3. Employment Equity Act 55 of 1998
  4. Labour Relations Act 66 of 1995
  5. Occupational Health and Safety Act 85 of 1993
  6. Promotion of Equality and Prevention of Unfair Discrimination Act 4 of 2000
  7. Protected Disclosures Act 26 of 2000
  8. Skills Development Act 97 of 1998
  9. Skills Development Levy Act 9 of 1999
  10. Unemployment Insurance Act 63 of 2001
  11. Unemployment Insurance Contributions Act 4 of 2002

 Revenue

  1. Income Tax Act 58 of 1962
  2. SARS Director Circulars and Notes
  3. Securities Transfer Tax Act 25 of 2007
  4. Securities Transfer Tax Administration Act 26 of 2007
  5. Value Added Tax Act 89 of 1991

General

  1. Broad-based Black Economic Empowerment Act 53 of 2003 and Financial Services Charter
  2. Companies Act 71 of 2008
  3. Constitution of RSA Act 108 of 1996
  4. Consumer Affairs (Unfair Business Practices) Act 71 of 1988
  5. Consumer Protection Act 68 of 2008
  6. Copyright Act 98 of 1978
  7. Electronic Communications and Transactions Act 25 of 2002
  8. Insolvency Act 24 of 1936
  9. King Code of Conduct for Corporate Governance (not legislation)
  10. Long-Term Insurance Act 52 of 1998
  11. Prevention and Combating of Corrupt Activities Act 12 of 2004
  12. Prevention of Organised Crime Act 121 of 1998
  13. Promotion of Access to Information Act 2 of 2000
  14. Promotion of Administrative Justice Act 3 of 2000
  15. Protection of Constitutional Democracy against Terrorist and Related Activities Act 33 of 2004
  16. Protection of Personal Information Bill
  17. Regulation of Interception of Communications and Provision of Communication-Related Information

Act 70 of 2002

  1. Trade Marks Act 194 of 1993

Offshore

  1. Foreign Account Tax Compliance Act (FATCA)
  2. Financial Services Authority Handbook
  3. GFSC Handbook for Financial Services Businesses on Countering Financial Crime and Terrorist

Financing

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