Compliance and Policies
Compliance
We have chosen to outsource our compliance monitoring to a registered professional third party compliance monitoring company:
Oracle Compliance (Pty) Ltd, a compliance practice approved by the Financial Sector Conduct Authority.
Address:
3rd Floor, 44 Whiteley Rd, Birnam, Johannesburg, 2196
Tel: 011 100 2551
Absolut Wealth Management is registered with the Financial Sector Conduct Authority.
FSP Licence No.1217
Our Registration Number is 2014/101303/07.
Our Professional Indemnity Assurance is brokered and underwritten by Aon Risk Solutions.
Policies
Click on the below to download our various policies
- AWM: Complaints Resolution Process
- AWM: Conflicts of Interest Manual
- AWM: Treat Customers Fairly (TCF) Policy
- AWM: POPIA and PAIA Policy
- AWM: Enterprise Wide Risk Management Plan
- AWM POPIA and PAIA Form 2 – request for correction/deletion
- AWM POPIA and PAIA Form 3 – application for issue of code of conduct
- AAM: Complaints Resolution Process
- AAM: Conflicts Of Interest Manual
- AAM: Treat Customers Fairly (TCF) Policy
- AAM: POPIA and PAIA Policy
- AAM: Enterprise Wide Risk Management Plan
- AAM POPIA and PAIA Form 2 – request for correction/deletion
- AAM POPIA and PAIA Form 3 – application for issue of code of conduct