In the interests of our clients, we have established a formal complaints policy and procedure to ensure that any complaints are handled fairly, promptly and by appropriately qualified staff.
Due to the nature and complexity of the financial services industry, we are only able to accept responsibility for complaints that relate directly to the services we provide to you. Where a complaint relates to another service provider or third party, we will assist, where possible, by directing you to the appropriate party or complaints process. If a complaint is not resolved to your satisfaction by our office, you may refer the matter to the relevant Ombud or pursue any other remedies available to you, including seeking independent legal advice. A copy of our Complaints Policy and Procedure is available by contacting [email protected].
Independent Wealth Managers(Pty) Ltd has appointed Moonstone Compliance (Practice No 188) as its external compliance practice.
The Compliance Officer is Carrie – Lee Wolff
Tel: 021 883 8000.
Postal Address: PO Box 12662, Die Boord, Stellenbosch, 7613,”
E-mail: [email protected]
If you are dissatisfied with the outcome of your complaint, you may lodge a complaint with the Ombudsman for Financial Services Provider (FAIS Ombud). The FAIS Ombud may be contacted at the following address:
P O Box 74571, Lynwood Ridge, 0040
Tel: +27 12 470 9080/+27 12 762 5000
Fax: +27 12 348 3447/+27 86 764 1422
National Financial Ombud Scheme
The National Financial Ombudsman’s (NFO) Scheme is there to resolve complaints brought about from consumers against Financial Service Providers, and is an independent body which exists to resolve financial services complaints fairly, impartially, and efficiently. The NFO may be contacted at the following
Cape Town Office
6th Floor, Claremont Central Building
6 Vineyard Road
Claremont
7708
Tel: 0860-800-900
Website: www.nfosa.co.za
Postal Address
110 Oxford Road
Houghton Estate
Johannesburg
Gauteng
2192
Conflict of Interest Management Policy
Independent Wealth Managers(Pty) Ltd (“IWM”) is an authorized Financial Services Provider (“FSP”) in terms of Financial Advisory and Intermediary Services Act 37 of 2002 (“FAIS”). As required by FAIS, as set out in Board Notice 58 of 2010. IWM is required to implement and maintain a Conflict of Interest Management Policy. In doing so, IWM is committed to providing financial services with integrity, honesty and transparency, while ensuring that the interests of our clients remain at the forefront of everything we do. A copy of this policy can be requested from our office by contacting [email protected].
Promotion of Access to Information Manual
Under the Promotion of Access to Information Act, 2000 (“PAIA”), private companies are required to provide access to certain records where those records are needed for the exercise or protection of a legal right. Independent Wealth Managers (Pty) Ltd has prepared and published a PAIA Manual in accordance with section 51 of the Act. A copy of this policy can be requested from our office by contacting [email protected].