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https://www.masthead.co.za/competence-register/
About the Competence Register. We have developed a register that will log and track all your training activities and qualifications. If convenience is what you want then this Competence Register is for you – All seminars, online courses and Class of Business Training that you complete via the Masthead Learning Centre will automatically be logged and you can add any of your other training ...
https://www.moonstone.co.za/complaints-management-tcf-way/
Oct 24, 2014 · Complaints Management the TCF way. ... In view of the broad range of types and scale of financial services providers authorised under the FAIS Act, the principles of risk-based and proportional supervision will be applied to determine the level and type of regulatory and/or public complaints data reporting required by different categories of ...
http://www.faisombud.co.za/forms/FAIS_Complaints_form_201111.doc
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https://www.fsca.co.za/Pages/Default.aspx
Complaints & Questions Trustee Toolkit Consumer Education Information Centre ... Nominee Register ... Insurer / Micro Insurer FAIS CIS / Hedge Funds Retirement Fund Credit Ratings ...
https://www.masthead.co.za/newsletter/establishing-a-complaints-management-framework/
Nov 20, 2018 · Two components of the complaints resolution process are a complaints handling policy and a complaints register. A complaints handling policy should provide you and your clients with a clear and considered process to manage and resolve client complaints. It should explain the steps you would like customers to take when making complaints.
https://www.fpi.co.za/documents/BusinessSolutionCentre/PracticeManagement/Folder2/FAIS_Compliance_and_Risk_Management.pdf
FPI_FAIS Compliance and Risk Management guide Page 2 of 15 Applying through the FSB directly: The application is available in Word format, and can be obtained from our Contact Centre. A reference number will be issued to you as soon as you submit your application form to the FSB.
http://www.fais-compliance.co.za/doc/__Risk_Management_Plan_(FCL-T027-000).doc
FAIS Act and Subordinate Legislation Advice Process. ... Each complaint is entered into the register. Key Individual Ongoing Complaints resolution policy to be understood by all within the FSP. ... High Medium Medium Complete the policy comparison template for all financial products that are replaced.
http://ww2.oldmutual.co.za/docs/default-source/about-us-docs/complaints-policy-omig-aug-2015-final.pdf
7.5 Old Mutual Investment Group will keep records of all complaints for five years and maintain a complaints register. 8 REFERRAL TO THE OMBUDSMAN If Old Mutual Investment Group has not resolved a complaint within 6 weeks, or where the complaint has been dismissed or where the client is not satisfied with the results of the
https://prime.co.za/fais-compliance-policy/
All complaints will be entered into a formal complaints register. Non-routine serious complaints will be handled by appropriately senior staff with adequate expertise, training and experience to resolve the matter expeditiously. The client will be kept informed of the progress of the complaint on a regular basis and at least every 14 days.
http://www.associatedcompliance.co.za/AC_Manual_2013/2_Management/Compliance%20and%20FAIS%20standards%20and%20manual/FAIS%20AC%20Note%20Jun13.pdf
The Financial Advisory and Intermediary Services (FAIS) Act 6.1 The Aim of the FAIS Legislation It is important to bear in mind, when seeing FAIS in context with other pieces of legislation, that what it really creates or aims to create is a formal system of regulating financial advisors and intermediaries.
https://www.ssk.co.za/uploads/files/insurance/RISKMANAGEMENTPLAN2014.pdf
The provider or key individual must monitor the risk management plan on a continuous basis. A compliance officer who assists in monitoring must report to the provider on at least a quarterly basis and to the Financial Services Board on an annual basis, or whenever so required by the registrar.
https://www.psg.co.za/services/api/asset/downloadfile/f2dbe655-8f09-403b-bebc-7fb024639ff7
Complaints Register the client will be notified accordingly and will be informed of his rights to: - Proceed in terms of Rule 6(a) and 6(b) of the Rules on Proceedings of the Office of the FAIS Ombud (see Annexure A); or - Seek legal redress in another forum
https://www.banking.org.za/consumer-information/consumer-information-legislation/financial-advisory-and-intermediary-services-act/
Compliance is responsible for dealing with complaints against FSPs that cannot be referred to the FAIS Ombud, investigations into the affairs of FSPs and regulatory action (suspension and withdrawal of licences) and updating debarments on the central representative register as well as reinstatement of representatives on the central register.
https://www.fsca.co.za/Fais/Search_FSP.htm
Please enter either the FSP number,partial name or postal code in the boxes below (only the last digits ex. 26/10/1234, only enter 1234)
http://www.fais-compliance.co.za/doc/Checklist_for_all_Files.xls
Conflict of Interest Register Complaints Register Employment Contract Employee ID Restraint and Confidentiality Agreement PI Cover Business Plan Group and Entity Organogram ... FAIS and FICA FAIS FICA Delegation of Powers Staff Duties Brief description of the Board Brief explanation and description of …
https://www.moonstone.co.za/services-under-supervision/
Feb 06, 2014 · “A written agreement regarding the execution of the services under supervision on behalf of the FSP, or the arrangement between employer and employee which requires the employee to submit to supervision…” This document should be based on the conditions contained in …
https://www.accc.gov.au/business/business-rights-protections/implementing-a-compliance-program
Businesses can run a compliance program as a voluntary exercise or as part of a legal undertaking. Ideally, a compliance program should be tailored to meet the needs of the business because each organisation’s circumstances are different.
http://pic.bankofchina.com/bocappd/southafrica/201702/P020170221611673351392.pdf
E2 Template of FAIS Complaints Register 10 . Glossary of Terms/ Abbreviations BOC JHB Bank Of China, Johannesburg Branch including Durban Branch . FAIS Act Financial Advisory and Intermediary Services Act : FSP Financial Service Provider- An entity/person which is involved either in the rendering of advice; or the rendering of an intermediary ...
https://ufsbrokers.co.za/internal-complaints-policy/
Uhuru Financial Services (PTY) LTD INTERNAL COMPLAINTS POLICY, COMPLAINTS RESOLUTION SYSTEM & PROCEDURES 1) INTRODUCTION In the spirit of promoting the highest level of professional and ethical conduct, as well as treating customers fairly principles, this INTERNAL COMPLAINTS & RESOLUTION OF COMPLAINTS POLICY was adopted by the Key Individual(s) of …
https://info.willis.com/site/WillisSouthAfrica/Shared%20Documents/Complaints%20Policy%202012.pdf
Willis South Africa Complaints Procedures Table of Contents ... – Standard Acknowledgment Template Letter for Complaints related to Insurer’s Compensation B ... format of the 24 hours Complaints Register is attached as part of the complaints procedures (see Appendix J). The Complaints Officer is responsible to ensure that the register is ...
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