Authorised Financial Services and Products
Signal Asset Management (Pty) Ltd is authorised to render financial advice and undertake an investment mandate in respect of the following financial products.
Authorised Representatives
Signal Asset Management (Pty) Ltd has duly authorised the individuals below to render advice and intermediary services as defined in terms of FAIS.
Key Individuals – Alan Lance Amler and Rodney Lewis Stein.
Representatives – Alan Lance Amler, Rodney Lewis Stein, Benjamin Mark Pooler and Andre Robert Kay.
Exemptions with regard to any matter covered by the FAIS Act
No specific exemption was granted to Signal Asset Management (Pty) Ltd by the Registrar.
Conflicts of Interest
Conflicts of interest are inherent in any business and therefore the aim of Signal Asset Management (Pty) Ltd is to take steps to identify, disclose and manage conflicts of interest that may arise and to further ensure that our clients are not unduly prejudiced.
Signal Asset Management (Pty) Ltd has no shareholding in any product supplier.
Professional Indemnity-, Fidelity Insurance or Guarantees
Signal Asset Management (Pty) Ltd holds professional indemnity insurance underwritten by Marsh (Pty) Ltd.
What will you have to pay us for our services?
The costs of our services will be laid out in our mandate agreement which is to be signed, before we conclude any business for you. Any additional fees that may be applicable will be disclosed in advance. This will include information regarding the nature, extent and frequency of any incentive, remuneration, consideration, commission or fees which will or may become payable to Signal Asset Management (Pty) Ltd by the relevant counterparty.
Signal Asset Management (Pty) Ltd derives > 30% of its turnover from the Allan Gray LISP (Linked Investment Service Provider).
Compliance with Financial Advisory and Intermediary Services Act “FAIS”
Compliance with the FAIS Act is monitored by Gerry Grispos of Compli-Serve SA (Pty) Ltd, who is contactable on 086 1273783 or email Gerry@compliserve.co.za
Financial Intelligence Centre Act (FICA)
Please note that in terms of the Financial Intelligence Centre Act (FICA), Signal Asset Management (Pty) Ltd is obliged to report suspicious and unusual transactions that may facilitate money laundering to the authorities.
Complaints
Should you wish to pursue a complaint against a representative of Signal Asset Management (Pty) Ltd, you should address your complaint in writing to Mr. Alan Amler a registered key person again at the address shown at the head of this letter.
If you cannot settle your complaint with us, you are entitled to refer it to the office of the FAIS Ombud. The Ombud has been created to provide you with a redress
mechanism for any inappropriate financial advice that you feel may have been given to you by a financial services provide.
Contact particulars of the Ombud:
PO Box 74571
Lynnwood Ridge 0040
Tel 012 470 9080
Fax 012 348 3447
info@faisombud.co.za
www.faisombud.co.za