RLP Training
  • 078 571 9945
  • 2nd Floor, HB Forum, <br> 13 Stamvrug Street, Val de Grace

Office Address

2nd Floor, HB Forum, 13 Stamvrug
Street, Val de Grace

Phone Number

078 571 9945

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Regulatory Exam 3: Key Individuals for CAT II and IIA

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Not Enrolled

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Welcome to the RE3 Self-Study Course

Thank you for choosing our RE3 Self-Study Course as part of your journey to becoming a qualified Key Individual in the South African financial services industry. This course is designed to equip you with the knowledge and understanding required to confidently pass the Regulatory Examination for Key Individuals (RE3), as prescribed by the Financial Sector Conduct Authority (FSCA) under the FAIS Act.

Whether you’re preparing to take up the role of a Key Individual for the first time or looking to strengthen your regulatory compliance knowledge, this course offers a structured, practical, and flexible approach to help you study at your own pace.

Through carefully curated content, practical examples, and revision tools, you’ll gain clarity on your responsibilities, the regulatory environment, and the governance principles applicable to licensed financial services providers (FSPs).

Let’s begin your preparation to not only pass the RE3 exam but to lead your FSP with integrity, confidence, and compliance.

Course Content

Study Guides & Resources 5 Topics
Task 1: Apply the Category II and/or IIA FSP business model 1 Topic
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Task 2: Manage The Role of the Independent Nominee 2 Topics
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Task 3: Manage and Oversee client mandates 2 Topics
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Task 4: Manage and Oversee Typical Daily Transactions 1 Topic
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Tasks 7 & 8: Record Keeping and Reporting 3 Topics
Task 9: Institute a personal account Trading policy 2 Topics
Tasks 10 & 11: Dealing with intermediaries and rebates 1 Topic
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