Legal

Complaints Handling Procedure

Outlines the process for handling customer complaints.

Conflict of Interest Policy

Details policies regarding potential conflicts of interest.

Data Security, Leakage & Control

Data security measures and breach protocols.

PAIA Manual

Information access manual under PAIA legislation.

Protection of Personal Information Policy

Governs the handling of personal data.

Social Media Policy

Guidelines for social media conduct.

Treating Customers Fairly Policy

Customer fairness standards and commitments.

FAIS Disclosure Letter

Financial Advisory and Intermediary Services disclosure.

Insider Trading Policy

This policy prohibits the use, disclosure, or sharing of non-public, price-sensitive information for personal gain or to influence securities trading, and outlines the penalties for insider trading violations.

Whistleblowing Policy

This policy encourages employees and stakeholders to report suspected fraud, corruption, misconduct, or unlawful activities in good faith, while ensuring confidentiality and protection from retaliation.

Advertising Policy

This policy ensures that all advertising and marketing communications are accurate, clear, compliant with FAIS regulations, and approved by compliance officers before publication.

Complaints Handling Procedure

Outlines the process for handling customer complaints.

Conflict of Interest Policy

Details policies regarding potential conflicts of interest.

Data Security

Data security measures and breach protocols.

PAIA Manual

Information access manual under PAIA legislation.

Protection of Personal Information Act Notice

Governs the handling of personal data.

Social Media Policy

Guidelines for social media conduct.

Treating Customers Fairly Policy

Customer fairness standards and commitments.