Description

FAIS Competence Register Template Free Download

The FAIS Competence Register Template is a free downloadable Excel workbook designed to help South African Financial Services Providers track competence evidence for Key Individuals, representatives and supervised representatives.

This free FAIS Competence Register Template supports practical recordkeeping for fit and proper compliance under Board Notice 194 of 2017. It helps an FSP keep one structured workbook for authorisations, qualifications, regulatory examinations, Class of Business training, Product-Specific Training, CPD, supervision and supporting evidence.

For related FAIS compliance templates, you may also view our CPD Policy and Procedures Template, Representative Appointment Compliance Pack and Supervision Compliance Pack.

For official regulatory information, you can also visit the FSCA FAIS Fit and Proper resources page.

What Is Included In This FAIS Competence Register Template?

This Excel workbook is designed as a practical tracking tool for FSPs that need to keep competence records organised, current and easy to review.

The workbook includes tabs for:

• Instructions for using the competence register
• Dashboard summary of active persons, representatives, Key Individuals, CPD status and evidence gaps
• Master Person Register
• Authorisations register
• Qualifications register
• Regulatory Examinations register
• Class of Business Training register
• Product-Specific Training register
• CPD Log
• CPD Tracker
• Supervision register
• Evidence Tracker
• Financial Product Categories reference tab
• Review Log
• Lookups and source reference tabs

Why FSPs Need a FAIS Competence Register Template

Fit and proper compliance is not only about passing RE exams or collecting certificates once. FSPs must be able to show that Key Individuals and representatives remain competent, properly authorised, trained, monitored and supported by evidence.

A structured FAIS Competence Register Template helps the FSP avoid scattered records across emails, folders, spreadsheets and individual staff files. It gives the FSP a central place to track whether competence evidence has been received, reviewed and kept up to date.

This free template helps address common weaknesses such as:

• No central competence register
• No single view of representative authorisations
• No clear CPD tracking process
• No record of Class of Business training
• No record of Product-Specific Training
• No evidence tracker for missing documents
• No supervision status tracking
• No dashboard showing CPD action required
• No review log for management or compliance follow-up

Track Fit and Proper Evidence In One Workbook

The FAIS Competence Register Template allows the FSP to capture each person’s role, appointment status, authorisation profile, competence evidence, CPD requirements, training records and outstanding actions.

This can support internal compliance reviews, external compliance monitoring, Key Individual oversight, representative file reviews and preparation for FSCA queries.

CPD Tracker Included

The workbook includes a CPD Tracker to help the FSP monitor required CPD hours, completed hours, outstanding hours, status and manager review notes.

This makes it easier to identify CPD gaps before the end of the CPD cycle and take action where a Key Individual or representative is at risk of non-compliance.

Evidence Tracker Included

The evidence tracker helps the FSP record whether supporting documents have been received and where they are saved. This is useful because recording a qualification, RE exam, CPD activity or declaration is not enough if the FSP cannot retrieve the supporting evidence when needed.

The tracker can be used for documents such as ID copies, qualifications, RE certificates, Class of Business certificates, Product-Specific Training records, CPD certificates, supervision records, declarations and annual review evidence.

Who Should Use This FAIS Competence Register Template?

• Authorised Financial Services Providers
• Key Individuals responsible for representative oversight
• FSPs with appointed representatives
• FSPs with representatives under supervision
• Compliance officers assisting FSPs with fit and proper monitoring
• Administrators responsible for representative files
• FSPs preparing for compliance monitoring or FSCA queries

Free Excel Resource For FAIS Compliance

This FAIS Competence Register Template is provided as a free resource to help FSPs improve competence tracking and evidence management.

The workbook should be customised to match the FSP’s licence categories, product categories, Key Individuals, representatives, supervision arrangements, CPD cycle, evidence storage locations and internal review process.

Important Compliance Note

This free FAIS Competence Register Template is a compliance support tool. It does not replace legal advice, regulatory advice, a fit and proper assessment, compliance officer monitoring or FSCA engagement. Each FSP remains responsible for ensuring that its competence records are accurate, complete, current, securely stored and aligned with its actual licence categories, representatives and current regulatory obligations.