The FAIS Compliant Seal confirms that Rockfin conducted consecutive compliance monitoring visits at the business premises of the Financial Services Provider (FSP). During these visits, the policies and procedures of the FSP were measured against the requirements set out in the FAIS Act (37) of 2002 (as amended) and sub-ordinate legislation as prescribed by the Financial Services Board. Where available, a sample of client files was selected and monitored to ensure that the FSP’s interaction with clients met the standards set out in the General Code of Conduct.
Rockfin verifies that based on the monitoring conducted, the FSP has consistently maintained a high level of compliance with the procedures as prescribed in the FAIS Act (37) of 2002. This verification is subject to annual review and Rockfin retains the right to withdraw the usage thereof at any time.
Neither Rockfin nor the Compliance Officer verifies or underwrites the appropriateness, completeness or quality of the advice and/or products recommended by the FSP.
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