Complaints Policy

COMPLAINT HAS TO BE IN WRITING

In order for a complaint to receive the attention that it deserves, we request that your complaint be submitted to us in writing. Please ensure that where the complaint is delivered by hand or by any other means, you obtain and keep proof of delivery. You may deliver your complaint on the Contact Us page on this website

COMPLAINT HAS TO BE RELEVANT

The financial services environment is complex. We will endeavour to address all reasonable requests from our clients, but may also refer you to a more appropriate facility. Where the complaint relates to any aspect of our service, or any disclosures that ought to be made by us, we will endeavour to address those complaints in writing within seven days. In instances where the complaint relates to any matter that is not within our control, such as product information or investment performance, we will forward the complaint to the product provider concerned.

PROCEDURES

The following is a step-by-step guideline sets out the procedures we will adopt and shows how a complaint will be dealt with, once received by us:

1. Your complaint and all communications in connection with your complaint must be in writing. All verbal communications made in connection with the complaint must be confirmed in writing within three days of the communication.
2. The complaint will be lodged in our central complaints register on the same day that it is made and written confirmation of receipt will be forwarded to you
3. The complaint will be investigated and we will revert to you with our preliminary findings within seven working days from the date of receipt of the complaint.
4. The preliminary findings will be discussed with all internal parties concerned, and a proposed solution will be communicated to you within a further seven working days.
5. If you are not satisfied with our solution, we will regard the complaint as being unsatisfactorily resolved. In such a case, you may approach the office of the Ombud for Financial Services Providers or take such other steps as may be advised by your legal representatives.
6. The referral to the office of the Ombud must be done in accordance with the provisions of section 21 of the Financial Advisory and Intermediary Services Act 2002 and the rules promulgated in terms of that section.
7. In instances where we have not been able to arrive at a resolution within six weeks after you have lodged your complaint, the matter may automatically be referred to the Ombud.
8. You must, if you wish to refer a matter to the Ombud, do so within a period of six months. The Ombud will not adjudicate in matters exceeding a value of R800 000.00.
9. The Ombud Advocate Nonku Tshombe - may be contacted at her offices in Pretoria, at the following address:
   
   Physical Address:
   Kasteel Park Office Park,
   Orange Building, 2nd Floor
   546 Jochemus Street
   Erasmus Kloof
   Pretoria
   
   Postal Address:
   FAIS Ombud
   P.O. Box 74571
   Lynwood Ridge
   0040
   
   Phone: 086 066 3247 or 012 762 5000
   Email: info@faisombud.co.za
   Website: www.faisombud.co.za