Regulatory details

Regulatory compliance provides peace of mind.

We are committed to the highest standards of ethics, integrity and fair dealing in the conduct of our business. We also recognise that we are accountable to our stakeholders under the legal and regulatory requirements applicable to our business. We therefore comply with both the letter and the spirit of the applicable codes and legislation and will always endeavour to act with due skill, care and diligence.

A compliance framework has been established for all legislation with which we are required to comply. A number of policies and procedures have been adopted to support the implementation and maintenance of a compliance culture within the firm.

We are registered with the Financial Services Board in terms of the following legislation:

  • Financial Advisory Intermediary Services (“FAIS”)
    We are an approved financial services provider in terms of the FAIS Act (Financial Advisory and Intermediary Services Act No. 37 of 2002 as amended). Our FSP licence number is 835. A Conflict of Interest Management Policy has been adopted to enable the company to comply with the requirements of FAIS and its subordinate legislation.
  • Financial Intelligence Centre Act (“FICA”)
    We are an accountable institution duly registered with the Financial Intelligence Centre in terms of the Financial Intelligence Centre Act No. 38 of 2001 as amended. Mr Sello Setai is our appointed Anti-Money Laundering Officer.
  • Pension Funds Act (“PFA”)
    We are a registered and approved administrator in terms of section 13B of the Pension Funds Act No. 24 of 1956 as amended. Our registration number is 24/434.

Conflict of Interest Management Policy

  • Definitions
  • Introduction
  • Application
  • Management of conflict of interest
  • Monitoring of conflict
  • Non-compliance with the policy
  • Record keeping
  • Reporting
  • Policy review
  • Approval

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Insurance

We have Professional indemnity and fidelity guarantee cover in place to indemnify us against negligence, theft, fraud, errors and omissions.

Compliance Manager
Tim Howse
Contact details:
Tel: +27 21 671 8162
E-mail: compliance@argonasset.co.za

Registered name: Argon Asset Management (Pty) Ltd (Argon)
Registration number: 2002/016801/07

Registered address:
1st floor, Colinton House, The Oval, 1 Oakdale Road, Newlands 7700
Tel: +27 21 670 6570
Fax: +27 21 671 8252

Complaints handling procedure
If you have complaints about any of our representatives, the information they provide you, their conduct, or any complaint relating to Argon’s services please contact the Compliance Officer in writing at the registered address above or email: compliance@argonasset.co.za

When we receive a written complaint we will provide you with an acknowledgement of receipt within 48 hours and do all we can to resolve your complaint as soon as possible. If there are any delays in resolving your complaint, we will keep you informed. 

If your complaint is not resolved to your satisfaction you may direct it, in writing, to the Office of the Ombud for Financial Services Providers whose details are set out below.

FAIS Ombud
PO Box 74571
Lynwood Ridge
0040
Telephone: +27 12 470 9080
Fax: +27 12 348 3447
E-mail: info@faisombud.co.za

Broad Based Black Economic Empowerment - Rating and verification
Argon complies with the Black Economic Empowerment legislation and applicable charters. We are rated as a Level 2 contributor in terms of our contribution to black economic advancement. Details of our certification are available on request.

SARS Tax clearance certificate
Our tax clearance certificate is available on request.