Section 132

132. (1) Bolaodi jwa lephata la ditshelete bo ka dira ditathathobo tsa botlhokomedi kwa tirong kwa mafelong a kgwebo a setheo se se tlhokometsweng ka kitsiso e e dirilweng pele kwa setheong se se tlhokometsweng e bile, fa mafelo a kgwebo a setheo se se tlhokometsweng e le a poraefete, ka tumalano ya pele le—

(a) motho yo go tsewang gore o mo taolong ya kgwebo e ka mabaka go dumelwang gore e dirwa kwa lefelong la poraefete; le

(b) badirisi ba lefelo leo la poraefete kgotsa karolo ya lefelo la poraefete le le tla tithathobiwang.

(2) Maitlhomo a bolaodi jwa lephata la ditshelete a go ka dira tithathobo ya botlhokomedi kwa tirong ya setheo se se tlhokometsweng ke go—

(a) tlhola go ikamanya ga setheo le molao wa lephata la ditshelete o molaodi wa lephata la ditshelete a rwalang maikarabelo a ona kgotsa tumalano e e gatelelwang e e amogetsweng ke molaodi wa lephata la ditshelete;

(b) tlhomatisa ka moo kotsi e tlisitsweng ke setheo ka ditlo to tsa molao wa lephata la ditshelete o molaodi wa lephata la ditshelete a rwalang maikarabelo a ona; le

(c) thusa molaodi wa lephata la ditshelete mo go tlhokomeleng setheo sa ditshelete se se maleba.

(3) (a) Molaodi wa lephata la ditshelete o ka tlhomatisa nako le lefelo la tithathobo ya botlhokomedi kwa tirong, fa fela tithathobo ya botlhokomedi kwa tirong e dirwa ka nako e e maleba e e welang ka fa tlase ga nako e e tlwaelegileng ya tiro.

(b) Molaodi wa lephata la ditshelete o tshwanetse go dira tithathobo ya botlhokomedi kwa tirong ka keletlhoko e kgolo go—

(i) tshwanelo ya motho yo o amegang ya—

(aa) seriti;

(bb) kgololosego le tshireletsego;

(cc) sephiri; le

(dd) ditshwanelo tse dingwe tsa semolaotheo; le

(ii) tlotlego le tolamo jaaka maemo a tlhoka, segolosegolo ka go—

(aa) dira tithathobo ya botlhokomedi kwa tirong ka bofitlha le ka manontlhotlho;

(bb) dira gore go se nne le kgoreletsego e kgolo; le

(cc) konosetsa tithathobo ya botlhokomedi kwa tirong ka bonako jo bo kgonegang.

(4) (a) Motlhankedi wa bolaodi jwa lephata la ditshelete, fa a dira tithathobo ya botlhokomedi kwa tirong, o ka dira nngwe le nngwe ya tse di latelang:

(i) Kopa motho mongwe le mongwe yo o tshotseng kgotsa yo o neng a tshotse lokwalo la kgwebo le tepamisitsweng le le leng malebana le tithathobo go tthagisa lokwalo leo le go le sekaseka, go dira ditswa le go dira khopi go tswa mo lokwalong lengwe le lengwe la kgwebo mo lefelong;

(ii) botsa motho mongwe le mongwe mo lefelong go batla tshedimosetso e e malebana le tithathobo;

(iii) naya setheo se se tlhokometsweng kgotsa motho yo o mo lefelong taelo e e kwetsweng ya go tthagisa go bolaodi jwa lephata la ditshelete, ka nako, kwa

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No. 41060

GOVERNMENT GAZETTE, 22 AUGUST 2017

Act No. 9 of 2017

Financial Sector Regulation Act, 2017

specified business document that is relevant to the inspection and is in the possession or under the control of the supervised entity;

(iv) when a business document is produced as required by a directive in terms of subparagraph (iii), examine, make extracts from and copy the document;

(v) if, as a result of the inspection, the official or the financial sector regulator 5 suspects on reasonable grounds that a contravention of a financial sector law has occurred or is likely to occur—

(aa) give a written directive to the supervised entity or the person apparently in control of the premises to ensure that no person removes from the premises, or conceals, destroys or otherwise interferes with, any business document; 10 or

(bb) take possession of, and remove from the premises, a business document for the purpose of preventing another person from removing, concealing, destroying or otherwise interfering with the document.

(b) A directive in terms of paragraph (a)(iii) or (v)(aa) is effective if given to a person 15 apparently in control of the premises.

(c) The financial sector regulator must ensure that the person apparently in control of the premises is given a written receipt for the business documents taken as mentioned in paragraph (a)(v)(bb).

(d) The financial sector regulator must ensure that any business document removed as 20 contemplated in paragraph (a)(v)(bb) is returned to the supervised entity when retention of the business document is no longer necessary to achieve the object of a financial sector law.

(e) The supervised entity from whose premises a document was removed as contemplated in paragraph (a)(v)(bb), or its authorised representative, may, during 25 normal office hours and under the supervision of the financial sector regulator, examine, copy and make extracts from the document.

## Interference with supervisory on-site inspections

133. A person may not intentionally or negligently interfere with or hinder the conduct of a supervisory on-site inspection. 30

## Part 4

## Investigations

## Investigators

134. (1) A financial sector regulator may, in writing, appoint a person as an investigator and may appoint any person to assist the investigator in carrying out an 35 investigation.

(2) A person appointed as an investigator must —

(a) not be a disqualified person;

(b) not have any conflict of interest in respect of the subject matter of the investigation; and 40

(c) have appropriate skills and expertise.

(3) The financial sector regulator must issue an investigator appointed in terms of subsection (1) with a certificate of appointment, which must be in the possession of the investigator when an investigator exercises any power or performs any duty in terms of this Act, and such investigator must produce the certificate of appointment at the request 45 of any person in respect of whom such power is being exercised.

## Powers to conduct investigations