Free RE5 Mock Exam | Test Yourself Now

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This quiz consists of 10 multiple-choice questions to help you test your knowledge and prepare for your FSCA regulatory exam.

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A person will not be able to act as a Representative of an authorised FSP unless he/she is able to provide confirmation, certified by the FSP to the client. WHICH STATEMENT IS INCORRECT?

A. That a service contract or another agreement to represent the FSP exists.

B. The FSP accepts responsibility for the activities of the Representative falling within the contract.

C. The FSP is liable for the conduct of their Representatives.

D. The Representative may engage in the same activities as its principal with the FSP’s consent even though he is not an employee or holds a mandate.

None

1 out of 10

A Compliance Officer has certain responsibilities. CHOOSE THE INCORRECT STATEMENT.

A. Needs to take responsibility for liaising with the Registrars.

B. Submit Compliance Reports and other compliance functions to the Ombud for FAIS.

C. Monitor compliance within the FAIS Act.

D. All of the above.

None

2 out of 10

Consumers of financial products have the right to complain about any inappropriate advice given or service rendered in relation to a particular financial product. WHAT IS THE CORRECT AMOUNT FOR THE COMPLAINT TO BE CONSIDERED BY THE OMBUD IF THE LOSS WAS BEFORE 1 JULY 2024? Choose the TRUE amount.

A. The claim must exceed R800 000.00

B. The claim must not exceed R3 500 000.00

C. The claim must not exceed R800 000.00

D. None of the above

None

3 out of 10

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10 out of 10

You've completed the RE5 Mock Exams Free Access on April 23, 2026. Review your results and take note of areas where you can improve.

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