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http://www.3rddev.co.za/fais/wp-content/uploads/2017/10/FAIS_Complaints_form_201111.pdf
COMPLAINT REGISTRATION FORM REFERENCE ... Handle complaints in a different way from the court. ... PLEASE POST THIS FORM TO: FAIS OMBUD P.O. Box 74571 included everything you want to tell us about your complaint? Lynnwood Ridge 0040 enclosed a copy of …
https://www.faisombud.co.za/wp-content/uploads/2018/07/Complaint_form_new_template_14062018_002.pdf
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http://www.leppard.co.za/complaints-form
If the complaint is against the intermediary (Leppard or your broker) it must be lodged with the FAIS Ombud. A complaints registration form may be downloaded from the FAIS Ombud’s website (www.faisombud.co.za) or obtained from the FAIS Ombud: tel: (012) 470 9080; fax: (012) 348 3447 or email [email protected]; physical address Sussex ...
https://www.fsca.co.za/Customers/Pages/Complaints-Compliments-Feedback.aspx
Please select the applicable option: Compliment (complete Section C below) Complaint against the FSCA (complete Section D below) Complaint against a regulated entity (complete section E below) Feedback / information (complete section F below)
https://www.fsca.co.za/Regulated%20Entities/Pages/LR-FAIS.aspx
FAIS licensing and registration process. Registration is responsible for: new licence applications; profile changes (amendments to licenses) updating the central representative register; approval of mandates and application forms for discretionary FSPs and Administrative FSPs;
http://www.associatedcompliance.co.za/AC_Manual_2013/18_Complaints/Complaints%20Forms/FAIS%20Ombud%20Complaints%20Form.doc
COMPLAINT REGISTRATION FORM. REFERENCE ... Handle complaints in a different way from the court. ... PLEASE POST THIS FORM TO: FAIS OMBUD . P.O. Box 74571 included everything you want to tell us about your complaint? Lynnwood Ridge. 0040 enclosed a copy of the company’s final response letter? enclosed copies of relevant documents?
https://hollardgrouprisk.com/Intermediary%20Approval%20Application%20Form.pdf
INTERMEDIARY APPROVAL APPLICATION FORM Please return to: Hollard Group Risk, Florence House, 22 Oxford Road, Parktown 2193 or PO Box 87419, Houghton ... FAIS REQUIREMENTS: The intermediary must be an authorised Finacial Services Provider. ... Have processes been put in place to deal with FAIS complaints if, and when they arise? Insurance? Do ...
https://www.moonstone.co.za/contact-us/
Moonstone, 1st choice for candidates! Provision of all level 1 FAIS Regulatory examination! For Venues and How to register. Downloads available: Preparations guides
https://www.fpi.co.za/documents/BusinessSolutionCentre/PracticeManagement/Folder2/FAIS_Compliance_and_Risk_Management.pdf
FPI_FAIS Compliance and Risk Management guide Page 1 of 15 FAIS Compliance and Risk Management Disclaimer This document serves as a mere guide and should not be used as the definitive and only source of ... The registration ... o The call centre will be able to …
https://www.banking.org.za/consumer-information/consumer-information-legislation/financial-advisory-and-intermediary-services-act/
The FAIS Ombud deals with Consumer complaints against FSPs and provides an efficient and affordable dispute resolution mechanism. On 30 September 2004, the Office of the Ombud for Financial Services Providers was opened to accept and deal with complaints.
https://www.safrican.co.za/SAFRICAN%20INTERMEDIARY%20APPROVAL%20APPLICATION%20FORM_NEW_VER%205_AUGUST%202015_FINAL.pdf
INTERMEDIARY APPROVAL APPLICATION FORM 1. INTERMEDIARY DETAILS FSP number ... Private Company Registration number Public Company Registration number Close Corporation Registration number Trust Registration number ... Have processes been put in place to deal with FAIS complaints if, and when, they arise? YES NO Do you have Professional Indemnity ...
https://www.lexisnexis.co.za/practical-guidance/financial-services
Lexis® Practical Guidance Financial Services is a web-based solution that guides users through the practical intricacies of compliance in the financial services sector. ... FAIS complaints registration form; National Consumer Commission complaints form; Form CoR 15.2 – Notice of Amendment of Memorandum of Incorporation : Authors.
Complaints should preferably be lodged in writing to our office either via fax, post, email or through our online complaint submission form on our website www.ombud.co.za. We also accept telephonic or walk-in complaints. The information we need from you is contained in the topic “How to Submit a Complaint”.
https://www.hollardti.com/Content/Documents/Complaints%20procedure%20Apr%202016.pdf
The purpose of our Complaints Policy: ... In order to complain you must lodge a complaints registration form that may be downloaded from ... the form and return the form to the FAIS ombud’s office at one of the above addresses including supporting documents (for instance, correspondence, policy documents, application forms and ...
https://nationalgovernment.co.za/units/view/262/Office-of-the-Ombud-for-Financial-Services-Providers-FAIS-Ombud
Overview The mission of the Office of the Ombud for Financial Services Providers (FAIS Ombud) is to promote consumer protection and enhance the integrity of the financial services industry through resolving complaints impartially, expeditiously and economically.
https://www.fnb.co.za/about-fnb/legal-matters/fais.html
The Act makes provision for FSP's to be licenced and authorised through the Financial Services Board (FSB). The FSB also regulates members of the industry in the way they provide advice, as well as related intermediary services such as processing your insurance claims, in terms of certain financial products as defined by the Act.
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.eaab.org.za/complaint
A guideline for using the online complaints lodgement process is provided below. Once the online complaint has been duly submitted, the complainant will immediately receive an e-mail acknowledging receipt thereof. The online complaint form comprises three components, namely: Stage 1: General guidelines for initiating the on-line complaint.
https://www.moonstone.co.za/how-to-register-for-your-level-1-exam-2/
Mar 30, 2015 · How to register for your level 1 exam. By Paul Kruger on 30 March 2015. To register for the Key Individual Exam, RE 1, or the Representative Exam, RE 5, you will need your ID or passport number, date of birth, FSP number as well as personal, contact and professional details. ... Fax – download and complete the registration form and fax to 086 ...
https://impetuswealth.co.za/assets/8.-policy-for-resolution-of-complaints-v2.pdf
2. This form may be downloaded from the website at www.faisombud.co.za or the client may contact the office of the FAIS Ombud by telephone, fax or email and request that a copy of the complaints registration form be faxed, emailed or posted 3. The form is then to be …
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