Financial Services Provider Statutory Disclosure Notice

In terms of the General Code of Conduct of the FAIS Act, Sasfin Asset Managers (Pty) Ltd is required to disclose the following information in
this document(s) to you. You are therefore requested to read through the document carefully and sign the acknowledgement that you have read
and understand the contents hereof.
If there is anything in this document that you do not understand, please request further information from us. You are entitled to a copy of this
document for your own records.

Statutory Disclosure in terms of the Financial Advisory and Intermediary Services Act, 2002 (FAIS Act)
Financial Services Provider Sasfin Asset Managers (Pty) Ltd (“SAM”)
21664 – (CMS Accreditation – ORG4827) - A copy of our license/CMS certificate is available on
FSP Number
request.
Registration No 2002/003307/07
Physical address 140 West Street, 6th Floor, Sandton, Johannesburg, 2196
Postal address PO Box 95104, Grant Park, Johannesburg, 2051
Telephone No 011 809 7500
Facsimile No 011 887 6167
Email address [email protected]
Website site www.sasfin.com
Sasfin Asset Managers (Pty) Ltd is insured against claims from professional negligence, errors and
omissions on the part of its Representatives, but do not hold any other guarantees. Sasfin
Indemnity Cover
Holdings Limited and subsidiaries holds professional indemnity cover of R150 000 000 with The
Hollard Insurance Company Limited.
Mr Erol Zeki | Chief Executive Officer | Email: [email protected]
Mr Johan Gouws | Head of Advice | Email: [email protected]
Key individual Responsible
Mrs Charleen Rix | Head of Healthcare Consulting | Email: [email protected]
Tel: 011 809 7500 | 140 West Street, 6th Floor, Sandton, Johannesburg, 2196
All complaints must be addressed to us in writing. If you wish to learn more about our Complaints
Resolution Policy, please contact our Internal Compliance Department at:
[email protected] or Tel 011 524 9106 or www.sasfin.com
Moonstone Compliance (Pty) Ltd, Practice No. 188, represented by Compliance Officer Andrié
Steyn.
25 Quantum Street, Techno Park, Stellenbosch. Tel: 021 883 8000 or Cell: 083 280 3756
Complaints and Compliance
Email: [email protected]
Department
Should a complaint not be resolved to your satisfaction, you may forward such complaint to the
Office of the Ombud for Financial Services Providers:
The FAIS Ombud PO Box 74571, Lynnwood Ridge, 0040 Telephone No: 0860 FAISOM (0860 324
766) / 012 470-9080 Email: [email protected]
The Council for Medical Schemes: Telephone 0861 123 267 / 012 431-0500, Fax 012 430-7644,
Email [email protected], Website www.medicalschemes.com
SAM is required by law to avoid any potential “Conflict of Interest” as defined in terms of the FAIS
Act. If unavoidable, SAM is required to advise you of such conflict and to take steps to mitigate it.
Conflict of Interest Policy
SAM have adopted and implemented a Conflict of Interest Management policy and it complies with
the provisions of FAIS Act, it can be obtained from Internal Compliance Department.
SAM is an accountable institution under the Financial Intelligence Centre Act, 38 of 2001, as
Financial Intelligence Centre Act 38
amended and is obligated to comply with the requirements in accordance with risk management
of 2001 (FICA)
principles prescribed by the Financial Intelligence Centre Act, 38 of 2001, as amended.
SAM receives legislated commission and fees for the advice and intermediary services which it
renders to all clients. SAM do not hold more than 10% of the shares issued by any product
Remunerations provider. SAM did not receive more than 30% of its total remuneration from any product provider.
SAM employees are paid commissions from the product provider(s) and/or a basic remuneration
plus incentive-based remuneration based on individual and company performance.
No person acting on behalf of SAM may during the rendering of a financial service request you to
Signing of Incomplete Documents
sign any written or printed form or document unless all details required to be inserted thereon by
you or on your behalf have already been inserted.
You are entirely responsible for the accuracy and completeness of all answers, statements or other
Responsibility for Correctness and information provided to SAM by you or on your behalf. All material facts in respect of any
Completeness of Information application, proposal, agreement, instruction, or other contractual information that is required to be
completed for or submitted to a product provider by or on your behalf that relates to any financial
 product, including any amendment thereof or variation thereto, must be accurately and properly
disclosed. Any misrepresentation or non-disclosure of a material fact or the inclusion of incorrect
information could result in the cancellation of the transaction by the product provider.
No representative of SAM or any other person may ask you, nor in any way induce you, to waive
Waiver of Rights
any right or benefit conferred on you by or in terms of any provision of the FAIS Act.

SAM is authorised to provide advice and intermediary services for the following sub-categories
FSP License Category 1 FSP License Category 2
1.1 Long-Term Insurance subcategory A 2.1 Long-term Insurance subcategory B1
1.2 Short-Term Insurance Personal Lines 2.15 Long-Term Insurance: Category B2
1.3 Long-Term Insurance subcategory B1 2.16 Long-Term Insurance: Category B2-A
1.20 Long-term insurance subcategory B2 2.17 Long-Term Insurance: Category B1-A
1.21 Long-term Insurance subcategory B2-A 2.2 Long-term Insurance subcategory C
1.22 Long-term Insurance subcategory B1-A 2.3 Retail Pension Benefits
1.4 Long-Term Insurance subcategory C 2.4 Pension Fund Benefits
1.5 Retail Pension Benefits 2.5 Shares
1.6 Short-Term Insurance Commercial Lines 2.6 Money market instruments
1.7 Pension Fund Benefits 2.7 Debentures and securitised debt
1.8 Shares 2.8 Warrants, certificates and other instruments
1.9 Money market instruments 2.9 Bonds
1.10 Debentures and securitised debt 2.10 Derivative instruments
1.11 Warrants, certificates and other instruments 2.11 Participatory interests in one or more collective investment schemes
1.12 Bonds 2.12 Forex Investments
1.13 Derivative instruments 2.13 Long-term Deposits
1.14 Participatory interests in a collective investment scheme 2.14 Short-term Deposits
1.15 Forex Investments
1.16 Health Service Benefits
1.17 Long-term Deposits
1.18 Short-term Deposits