Client Licence Profile Change printable pdf download

Client Licence Profile Change

Client Licence profile Change Checklist

Description of change

Sent to AC

FSP 1

Name change

FSP 2

Licence Category addition

FSP 3

Director/Shareholder change

FSP 4

New KI

FSP 5

New Rep

FSP 9

New auditor

Supporting docs

FSP1:

FSB approval needed prior to submission to CIPC

CIPC docs reflecting the new name

Proof of payment of the required fee

FSP2:

Proof of experience for KI/s who will manage new category

Proof of experience for Reps who will be working with new category

Proof of payment of the required fee

FSP 3 :

CIPC docs reflecting the directors.

Proof of new shareholding e.g. Share certificates/auditor letter

FSP 4:

Each KI will need to supply the following –

· Certified ID

· Detailed CV

· Certified qualifications

· Reference letter pertaining to management experience

· Reference letter pertaining to category experience

· Proof of Regulatory exam (KI)

Client Licence Profile Change