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Internal Complaint Resolution Procedures

Should you, for whatever reason,  have a complaint against me (in my capacity as financial services provider) the following rules will apply:

Complaint has to be in writing

01  The complaint must be submitted to me in writing.
02  Send per email to me at
03  Request a Read Receipt when sending your mail,
04  which will be send to you on receipt of your request.
05  Ensure that you keep copies of all correspondence.
06  Verbal communication must be confirmed in writing,
07  within three work days of the said verbal communication.
Seven days

Where the complaint relates to any aspect of my service, or any disclosures that ought to be made by me, I will endeavour to address the complaint in writing within seven work days on receipt of the complaint.

Matters not within my control

In instances where the complaint relates to any matter that is not within my control, such as product information, I will forward the complaint to the product provider concerned.

How I will deal with a complaint

01  On receipt, register the complaint in my Central Complaints Register.
02  Investigate the complaint.
03  Will revert to you with my findings within seven work days.
04  Discuss the preliminary findings with you.
05  Propose a solution to you within a further seven work days.

The complaint is unresolved if you are not satisfied with my solution. You may in such a case approach the Ombud for Financial Services Providers or take such steps as may be advised by your legal advisor.

The Ombud for Financial Services Providers

The referral to the office of the Ombud must be done in accordance with the provisions of section 21 of the Financial Advisory and Intermediary Services Act 37 of 2002 and the rules promulgated in terms thereof.

In instances where we have not been able to arrive at a resolution within six weeks after you have lodged your complaint, the matter may automatically be referred to the Ombud.

You must, if you wish to refer a matter to the Ombud, do so within a period of six months. The Ombud will not adjudicate in matters exceeding a value of R800 000.

The Ombud may be contacted at:

FAIS Ombud
Sussex Office Park,
Ground Floor, Block B
473 Lynwood Road
Cnr Lynnwood & Sussex Ave
Pretoria 0081

FAIS Ombud
P.O. Box 74571
Lynwood Ridge

Phone: 012 762 5000 or 012 470 9080
Fax: 086 764 1422 or 012 348 3447


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heindeBruin_04_print_03 - Kopstuk B.Proc.  N.Dip.(Marketing)
Financial Services Provider — Licence 8840
Health Care Broker  — Accreditation BR 285
Accredited  PPS Broker — B/Code 124314907

053 531 0003  Office
053 531 0123  Office
082 953 3222  Cellphone (24 hours)
086 671 2107  Fax

PO Box 123 / 8 Karee Street  BARKLY WEST 8375
On the banks of the Vaal River, 35 km from Kimberley

Always as near to you as the nearest phone or computer

Language Editor Dr. Lariza Hoffman

© 2011 — 2015  All rights reserved by Heinré de Bruin