LEGAL AND COMPLIANCE
At WealthShore Capital, we are dedicated to maintaining a transparent governance framework, which instils a strong sense of confidence in our clients regarding the management of the company in accordance with industry best practices. We prioritize the protection of our clients’ privacy and implement rigorous measures to guarantee that any personal information we collect is utilized in a lawful and transparent manner. The processes we have established are detailed on this page.
Complaints
You are entitled to express a complaint if you believe that the guidance or services rendered by any of our financial advisers were unsuitable. To submit your complaint, please email info@wealthshore.co.za. If we are unable to address your complaint within six weeks from the date of receipt, you will be directed to reach out to the Ombud for Financial Services. For your convenience, their contact information is as follows:
Postal address: PO Box 74571, Lynnwood Ridge, 0040Â
Telephone: 0860 324 766 or (012) 470 9080/99Â
Fax: 012 348 3447Â
If your complaint pertains to a product rather than the advice or services provided by us, you will need to contact the relevant product provider and/or the appropriate ombud or regulatory body associated with that specific product.
Click here to request WealthShore Capital’s Complaints Management Process.
Contact details
FAIS Ombud
If you are dissatisfied with any advice that you have received from your intermediary, you may contact the office of the Financial Advisory and
Intermediary Services (FAIS) Ombud.
Address: PO Box 41, Menlyn Park, 0063
Telephone: (012) 762 5000 or (012) 470 9080
Fax: 086 764 1422 or (012) 348 3447
Email info@faisombud.co.za
Website: www.faisombud.co.za
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National Financial Ombud Scheme South Africa (NFO)
If you are dissatisfied with any of our products, you may
contact the National Financial Ombud Scheme South Africa (NFO).
Address: 6th floor, Claremont Central Building, 6 Vineyard Road,
Claremont, Cape Town, 7700
Telephone: 0860 800 900
WhatsApp: +27 (0) 66 473 0157
Email: info@nfosa.co.za
Website: www.nfosa.co.za
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Financial Sector Conduct Authority PO Box 35655, Menlo Park, 0102
Tel: 012 428 8000 or 0800 202 087 Fax: 012 346 6941
Email: info@fsca.co.za or complaints@fsca.co.za
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The Pension Funds Adjudicator
PO Box 580, Menlyn, 0063
Tel: 012 346 1738 or 012 748 4000 Fax: 086 693 7472
Email: enquiries@pfa.org.za
Treating customers fairly
Client centricity is fundamental to our operations at WealthShore Capital. Our objective is to equip our clients with the necessary information to facilitate informed decision-making. Below, we detail the processes we have put in place as an authorized financial services provider (FSP) license 53408, along with the role of our financial advisers, who serve as our representatives.
Click here to request WealthShore Capital’s Complaints Management Process. Treating Customers Fairly policy
Conflict of interest
We are committed to preventing any conflicts of interest. In instances where circumstances may adversely impact our clients, we will disclose and address these situations in accordance with our Conflict of Interest Policy. Click here to request WealthShore Capital’s Conflict of Interest Policy policy
Legal disclosures
Your financial adviser is equipped to furnish you with the necessary disclosures mandated by the Financial Advisory and Intermediary Services (FAIS) Act, as required of a Financial Services Provider (FSP). Additionally, they will provide an introductory document that contains pertinent information regarding your financial adviser.
Risk Management and Compliance Programme (RMCP)
It is essential for us to recognize our clients in compliance with the Financial Intelligence Centre Amendment Act (FICAA). The procedures implemented to perform due diligence on our clients are outlined in the RMCP. For further information, please reach out to the WealthShore Capital office at info@wealthshore.co.za.
Access to information
It is your constitutional entitlement to access information contained in records maintained by both public and private entities. The criteria governing the disclosure or denial of such information are explicitly outlined in The Promotion of Access to Information Act, No 2 of 2000 (PAIA). WealthShore Capital complies with the procedures detailed in our PAIA manual. Click here to request WealthShore Capital’s PAIA manual.
Privacy Policy
WealthShore Capital’s Privacy Policy outlines the manner in which your personal information is handled when collected electronically through our website. This includes instances when you apply online for specific products and services, reach out to us electronically, or register for any of the services available on our site. Should you have any inquiries regarding this notice or the way WealthShore Capital manages your personal information, please send an email to info@wealthshore.co.za.
Protection of Personal Information Act 4 of 2013 (POPI)
According to the Protection of Personal Information Act 4 of 2013 (POPI), clients are entitled to lodge complaints with WealthShore Capital regarding the handling of their personal information. For additional details, please contact the WealthShore Capital office at info@wealthshore.co.za, and we will assist you in completing the necessary form.