This document outlines a general code of conduct for financial advisors and intermediaries. It discusses requirements regarding conflicts of interest, record keeping, product disclosures, and confidentiality. Advisors must avoid conflicts, keep accurate records for 5 years, and disclose any significant financial interests they have in recommended products. The document provides references for further information and indicates how to contact the author for additional parts.

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2. GENERAL CODE OF
CONDUCT
Section 15 of
Financial Advisory
And
Intermediary Services Act, 2002
(Act No 37. Of 2002) 2

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5. No
conflict of
NO
interest bribes
Do as the Accurate
client
wants
5

6. Both
Lets look at
verbal&
Record Keeping written
Safe storage & Retrieval
Keep for 5
years
Computer or Paper
Its all confidential
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7. Product Suppliers
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8. Product Suppliers
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9. Product Suppliers
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10. IfI am selling a
product suppliers
product.
What additional
Information must I
tell the client
about?
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11. If we have a BIG
financial
interest in them!
If over 12 months
their products
give us 30%+ OF
OUR SALES TARGET
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15. Uuhmm..
This is the end of
Part 1
If you want
more…
Contact the
author..
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16. For more ….
• Email: stan.pratt362@gmail.com
• LinkedIn: /Stan Pratt
• Facebook: /Stan Pratt
• Company: http://www.stanpratt.co.za/
• Blog : http://studystan.blogspot.com/
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17. 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.
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