Financial Advisory
and Intermediary Services (FAIS)
ALT Capital Partners comply with all FAIS regulations, including the General Code of Conduct. Past performance is not a guarantee of future performance.
Regulation and Compliance
Compliance is outsourced to Outsourced Compliance Services (Pty) Ltd.
Complaints
Handling Procedure
The Financial Advisory and Intermediary Services Act 37 of 2002 ("FAIS" deals with complaints in some detail and the recourse mechanisms available to users of financial products and services. Specifically, section 27(1) deals with the receipt of Complaints, prescription, jurisdiction and investigation. All licensed financial service providers (FSP's) are required to have systems in place for timely and efficient resolution of complaints within the specified timeframes. Our complaints handling procedure is documented and can be downloaded by clicking on this link.
Conflict of Interest
The Conflicts of Interest Policy and Conflict Management Framework document outlines the conflicts of interest / conflict management policy adopted by ALT Capital and its employees, key individuals and representatives. It should be read in conjunction with the Financial Advisory and Intermediary Services (FAIS) Act and regulations made thereunder, specifically those relating to conflicts of interest. No part of this document may be reproduced without the written consent of ALT Capital Partners and its external compliance officer Outsourced Compliance Services (Pty) Ltd.
Treating Customers Fairly
The Treating Customers Fairly (TCF) initiative is a key component of the Financial Sector Conduct Authority’s broader consumer protection and market conduct mandate. TCF is an outcomes-based regulatory and supervisory approach designed to ensure that specific, clearly articulated fairness outcomes for financial services consumers are delivered by regulated financial firms. The document is available in Adobe Acrobat format by clicking here.
