Date post: | 24-Jan-2017 |
Category: |
Documents |
Upload: | stan-pratt-associates-cc |
View: | 590 times |
Download: | 0 times |
1
GENERAL CODE OF CONDUCT
2
Section 15 of Financial Advisory
AndIntermediary Services Act, 2002
(Act No 37. Of 2002)
3
4
5
No conflict of interest
NO bribes
Do as the client wants
Accurate
6
Lets look at Record Keeping
Both verbal& written
Safe storage & Retrieval
Keep for 5 years
Computer or Paper
Its all confidential
Product Suppliers
7
Product Suppliers
8
Product Suppliers
9
10
If I am selling a product suppliers product.
What additional Information must I tell
the client about?
11
If we have a BIG financial interest in them!
If over 12 months their products give us 30%+ OF OUR SALES TARGET
12
13
14
15
Uuhmm..This is the end of
Part 1If you want
more…Contact the
author..
For more ….
• Email: [email protected]• LinkedIn: /Stan Pratt• Facebook: /Stan Pratt• Company: http://www.stanpratt.co.za/• Blog : http://studystan.blogspot.com/
16
References
• The Fais Act (Act 37 of 2002)• www.FSB.co.za• www.bankseta.org.za• www.inseta.org.za Every effort was made to ensure that public domain pictures and
text was used. If you think your copyright has been infringed. Please contact the author for it to be removed.
17