Compliance @ Antler
The Financial Advisory and Intermediary Services Act (FAIS)
The strongest piece of legislation introduced in the Financial Services Industry, with far reaching consequences to those Financial Service Providers (FSPs) who, in their dealing with clients, fail to comply.
The Process
Antler Financial Services (Pty) Ltd aims wherever possible to be consistent with the six step financial planning process which is prescribed internationally by the Financial Planning Standards Board (FSPB) and endorsed locally by the Financial Planning Institute (FPI).
- Clarify the relationship
- Understand the client's circumstances
- Analyse the client's objectives
- Identify and agree appropriate solutions
- Implement
- Ongoing review
Complaints Procedure
Antler Financial Services (Pty) Ltd subscribes to both the letter and the spirit of FAIS. As such, should you feel that we have not lived up to our commitments to you, we ask that you please direct your complaint in writing to:
Email: enquiries@antlerfin.co.za
Postal: Postnet suite 577, Private bag X1, Jukskei Park, 2153
Should we fail thereafter to resolve the issue to your satisfaction, please address your complaint to our external Compliance Officer, Adv. A. H. Davey of Tony Davey & Associates (Pty) Ltd for resolution.
They Corporation can be contacted at: MyrtleM@harding.co.za
Tel. No: +27 11 778 4638
Fax No: +27 11 778 4637
Postal: P.O. Box 411710, Craighall 2024
Should your complaint still not be resolved to your satisfaction, you are entitled to seek redress via the FAIS Ombud. Please visit the website below to see the full procedure involved in making a complaint.
0860FAISOM (0860324766)
Tel. No: +27 12 470 9080
Fax No: +27 12 348 3447
Email: info@faisombud.co.za
Website: www.faisombud.co.za