Governance

Operations & Governance

Back-up & Disaster Recovery Plan (DRP)

We make regular back-ups of all our data and have an off-site disaster recovery facility. The DRP ensures that we will be able to continue operating in the event of a disaster while we re-establish and set-up permanent offices.

Conflict of Interest

The Conflicts of Interest Policy and Conflict Management Framework document outlines the conflicts of interest / conflict management policy adopted by Aequalis 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 Aequalis and its external compliance officer Compli-Serve (Pty) Ltd.

Financial Advisory and Intermediary Services (FAIS)

Aequalis Asset Managers (Pty) Ltd ("Aequalis") is an approved financial services provider in terms of the Financial Advisory and Intermediary Services Act, No.37 of 2002. Our FSP number is 44549. We comply with all FAIS regulations, including the General Code of Conduct.

Complaints Handling Procedure

The Financial Advisory & Intermediary Services Act 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) will be required to have systems in place for the purpose of 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.

Promotion of Access to Information Act

The Promotion of Access to Information Act, No 2 of 2000 was enacted to give effect to the constitutional right of access to any information held by any private or public body that is required for the exercise or protection of any rights. Certain requirements, however, have to be met for access to any information being granted. The Act requires that a manual be prepared to assist people in exercising their right of access to information.

Regulation and Compliance

Compliance is outsourced to Independent Compliance Services. Our Risk management and Client treatment policies are also available to clients.

Disclaimer

Any information, opinions and/or recommendations contained in this website are for general use only, and are and must be construed solely as statements of opinion and not statements of fact. Whilst all care is taken by Aequalis Asset Managers (Pty) Ltd and its subsidiaries (“Aequalis") in the preparation of the contents hereof, no warranty, express or implied, as to the accuracy, timeliness, completeness, merchantability or fitness for any particular purpose of any such recommendation or information is given or made by Aequalis in any form or manner whatsoever.
Each recommendation or opinion must be weighed solely as one factor in any investment or other decision made by or on behalf of any user of the information contained herein, and such user should consult its own investment or financial or other advisors before making any decision. Aequalis shall not be responsible and disclaims all liability for any loss, liability, damage (whether direct or consequential) of any nature whatsoever which may be suffered as a result of or which may be attributable, directly or indirectly, to the use of any information, opinion, recommendation, link or service contained in or provided through this website.

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