How do we protect our clients

Ascent Wealth Management subscribes to the principles of the Financial Advisory and Intermediary Services Act, the FAIS General Code of Conduct and the FPI Code of Conduct.

 

Conflict of interest

Our commitment to ethical and fair treatment includes our conflict of interest and confidentiality policies. If any circumstances arise where our interests may prevent us from giving you unbiased advice, we will discuss this with you. Our conflict of interest manual is available at our offices for clients to view.

 

Professional Indemnity

We have Professional Indemnity Cover with Marsh (PTY) LTD  underwritten by Leppard Underwriting

 

Compliance officer

We adhere to all compliance guidelines and are audited regularly by an independent compliance officer. Our compliance officer is Adv. A.H. (Tony) Davey (Tony Davey & Associates (Pty) Ltd).

T +27 (0)11 778 4638   tonyd@harding.co.za

 

Complaints

Should you ever have a complaint, you would inform your adviser in writing who will then record your complaint and inform our compliance officer for action. If, after this step, you are still not satisfied, you can contact the Ombudsman for Financial Services.

T +27 762 5000 / 0860 066 3274    www.faisombud.co.za

 

The Protection of Personal Information

Ascent Wealth Management is committed to protecting our clients’ privacy. We take practical and reasonable steps to comply with statutory requirements, in accordance with the Protection of Personal Information Act 4 of 2013, when we collect, store, process, and distribute personal information.

Clients are welcome to contact our Information Officer to review a copy of Ascent Wealth Management’s POPIA policy.

T +27 11 802 0220   lynn@ascentwealth.co.za

 

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