Regulatory Compliance & Transparency
As a licensed financial services provider, we maintain the highest standards of compliance and regulatory adherence to protect our clients.
FSP License
FSP 45314
Licensed Financial Services Provider
Regulatory Body
FSCA
Regulated by Financial Sector Conduct Authority
Compliance Status
Fully Compliant
All regulatory requirements met
Committed to Regulatory Excellence
Wealth Financial Advisers (Pty) Ltd operates under FSP License 45314 and adheres to all Financial Sector Conduct Authority (FSCA) regulations. Our compliance framework ensures that we operate with integrity, transparency, and in the best interests of our clients.
Data Protection
Full compliance with POPIA (Protection of Personal Information Act) ensuring your data is secure and used responsibly.
Treating Customers Fairly
We implement TCF principles in all aspects of our business, putting your interests at the heart of everything we do.
Conflict Management
Transparent policies to identify and manage any potential conflicts of interest.
Information Access
PAIA Manual available for your right to access information held by our organization.
Compliance Documents
Download our regulatory and compliance documents to understand how we protect your interests and maintain industry standards.
Complaints Management Framework
Our framework for handling and resolving client complaints in accordance with FSCA requirements.
Download PDFConflict of Interest Management
Policy outlining how we identify, manage and mitigate conflicts of interest.
Download PDFPAIA Manual 2024
Promotion of Access to Information Act (Act 2 of 2000) Section 51 Manual.
Download PDFPOPI Policy 2020
Protection of Personal Information Act compliance policy and procedures.
Download PDFPrivacy Policy 2022
How we collect, use, store and protect your personal information.
Download PDFTCF Policy
Treating Customers Fairly policy in line with FSCA principles.
Download PDFPromotion of Access to Information Act
The Promotion of Access to Information Act (PAIA) gives effect to the constitutional right of access to information held by public and private bodies. Our PAIA Manual outlines the procedures to request information from Wealth Financial Advisers (Pty) Ltd.
Information Officer
For information requests under PAIA, please contact our Information Officer:
Email:
info@wealthfa.co.zaPhone:
+27 61 404 9664Have a Complaint or Concern?
We are committed to resolving any complaints fairly and efficiently. Our Complaints Management Framework outlines our procedures for handling and resolving client concerns. If you're not satisfied with our response, you may escalate to the FAIS Ombud.
