COMPLIANCE

Treating Clients Fairly Policy

The FSP respects the Regulator’s mission to maintain a sound financial investment environment in South Africa and acknowledge its mandate to promote the:

1. fair treatment of consumers of financial services and products

2. financial soundness of financial institutions

3. systematic stability of financial industries

4. integrity of financial markets and institutions

To this end the FSP welcomes the TCF initiative and commits itself to align the FSP’s organisational culture and business processes in such a way as to ensure that the six outcomes of TCF are at all times achieved.

Complaints Policy

Complaint: means a specific complaint relating to a financial service rendered by the FSP or Representative to the complainant in which it is alleged that the FSP or Representative:

a) has contravened or failed to comply with a provision of the FAIS Act and that as a result thereof the complainant has suffered or likely to suffer financial prejudice or damage; or

b)has willfully or negligently rendered a financial service to the complaint which has caused prejudice or damage to the complaint or which is likely to result in such prejudice or damage;

c) has treated the complainant unfairly

Conflict of Interest Policy

Conflict of interest: means any situation in which a provider or a representative has an actual or potential interest that may, in rendering a financial service to a client:

a) influence the objective performance of his, her or its obligations to that client; or

b) prevent a provider or representative from rendering an unbiased and fair financial service to that
client,

or from acting in the interest of that client,
including but not limited to -

i) a financial interest;
ii) an ownership interest;
iii) any relationship with a third party

Privacy Policy

Intermediary Disclosure Document

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