FAIS – FINANCIAL ADVISORY AND INTERMEDIARY SERVICE ACT

  • The Financial Advisory and Intermediary Service Act (No. 37 of 2002), was passed in November 2002 and applies to all financial advisors (people to advise clients on financial products) and intermediary services (brokers).
  • The Act was regulated in order to ensure the advice given to clients from the financial advisor and intermediary, is properly provided.
  • As a Broker we are required to be compliant with the FAIS Act and be registered as a Financial Services Provider (FSB license No. 14212) with the Financial Services Board.
  • Leigh Group and its representatives act with honesty and integrity to ensure our clients are given the best service and options that suit their personal needs.
  • The staff at Leigh Group are fully compliant with the FAIS Fit and Proper requirements and have obtained their Inseta Level 4 Certificates in Short-Term Insurance.

COMPLAINTS IN TERMS OF FAIS ACT (Act No. 37 of 2002)   E-mail – leigh@leighgroup.co.za

ALL FAIS COMPLAINTS MUST BE SUBMITTED IN WRITING

COMPLIANCE OFFICER

Debbie Smith  - Compliance Officer  |  Practice number 4851

M: 072 550 8238  |  F: 086 606 9660

E: dsmith@compliancesolution.net  |   www.compliancesolution.net

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