RE 1
KI examinationKey IndividualsCategories I, II, IIA, III & IV
Required for KIs who manage or oversee financial services across all FSP categories. It must be passed before FSCA approval.
RE1 · RE3 · RE5 preparation
RE Exam Training & Preparation
Pass with confidence. Comply with competence.
Structured preparation for Key Individuals and representatives who need the regulatory knowledge, practical context and study discipline to meet FSCA competence requirements.
Plan your RE preparationRE exam requirements
Mandatory, standardised examinations based on the FSCA qualifying criteria in Annexure 5 of BN 194 of 2017.
RE 3
Additional KI examKey IndividualsCategories II & IIA
Required in addition to RE 1 for KIs managing Discretionary or Hedge Fund FSPs. It must be passed before approval.
RE 5
Representative examRepresentativesAll categories
Required before full appointment. A representative under supervision must pass within 24 months from their first appointment date.
Training & support
Prepare for the exam. Understand the work.
RCC provides structured internal training, coaching and progress monitoring. Each module connects the official qualifying criteria to the practical duties candidates perform inside an FSP.
01
FAIS · GCOC · FICA
Legislation & Code workshops
- FAIS Act deep-dives covering licensing, compliance, debarment and record keeping
- General Code modules on conflicts, advice, suitability, replacements, client funds, complaints and direct marketing
- FICA preparation covering CDD, RMCP and regulatory reporting
02
Annexure 5
Qualifying criteria & study plans
- Map the FSCA qualifying criteria to practical exam topics
- Break complex criteria into manageable knowledge areas
- Build a realistic study schedule around the candidate’s role and deadline
03
Practice & review
Mock exams & question workshops
- Work through multiple-choice questions based on regulatory scenarios
- Review mock results and identify recurring knowledge gaps
- Explain why each response is correct or incorrect against the source material
04
From rule to workflow
Practical contextualisation
- Translate legislation into the candidate’s day-to-day responsibilities
- Use real FSP disclosure, advice-record and compliance-checklist examples
- Connect abstract statutory wording to sound client outcomes
05
DOFA · s.8A
Monitoring & record keeping
- Track DOFA and the 24-month supervision deadline
- Monitor study milestones, mock-exam progress and outstanding actions
- Maintain attendance, progress and official pass evidence on the competence register
Legislation in context
Know the rule—and why it matters.
The exam tests operational understanding. Preparation therefore moves beyond memorisation and into the decisions, documents and client outcomes the legislation governs.
- FAIS s.8 · s.17
Licensing and compliance oversight
Understand how licensing conditions, Key Individual responsibility and the Compliance Officer’s monitoring role work together.
- FAIS s.14 · s.18
Debarment and record keeping
Work through the duties, evidence and procedural standards that protect clients and the integrity of the FSP.
- GCOC s.3A · s.7–9
Advice, suitability and conflicts
Review conflicts of interest, disclosures, needs analysis, product replacements, advice records and custody of client assets.
- GCOC s.11–13
Complaints and direct marketing
Apply the Code’s expectations to complaints resolution, communications and direct-marketing conduct.
- FICA Act 38 of 2001
CDD, RMCP and reporting
Connect risk-based customer due diligence and the RMCP to cash-threshold and suspicious-transaction reporting duties.
Our approach
A clear path to exam readiness.
- 01
Assess
Confirm the candidate’s role, experience, exam requirement and deadline.
- 02
Plan
Build a study plan around the applicable FSCA qualifying criteria.
- 03
Prepare
Attend focused workshops, question reviews and mock examinations.
- 04
Perform
Build confidence through practice, feedback and practical application.
- 05
Pass & comply
Sit the accredited exam and retain evidence on the competence register.
Your success. Our priority.
Build the knowledge and exam discipline required to meet FSCA competence standards.