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Which of the following items is the FSP required to disclose to a client about itself and the relationship?
RE5 practice question with a worked answer. This is one of hundreds of FSCA RE5 questions in the RegulatoryExams question bank.
- a) Its name, physical and postal address, contact details, the services it is authorised to render, and how to contact its compliance department / lodge complaints.Correct
- b) Only the representative’s personal cellphone number.
- c) Only the product supplier’s logo.
- d) Nothing — disclosure of the FSP’s identity is discretionary.
Why this is the answer
Mandatory FSP disclosure includes its identity and contact details, the categories of service it is authorised to render, and how the client can reach the compliance function and lodge complaints. This is core to the General Code's disclosure requirements.
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