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GENERAL CODE OF CONDUCT

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Section 15 of Financial Advisory

AndIntermediary Services Act, 2002

(Act No 37. Of 2002)

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No conflict of interest

NO bribes

Do as the client wants

Accurate

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Lets look at Record Keeping

Both verbal& written

Safe storage & Retrieval

Keep for 5 years

Computer or Paper

Its all confidential

Product Suppliers

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Product Suppliers

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Product Suppliers

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If I am selling a product suppliers product.

What additional Information must I tell

the client about?

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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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Uuhmm..This is the end of

Part 1If you want

more…Contact the

author..

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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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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