Regulatory Details

Regulatory compliance provides peace of mind.

Mianzo Asset Management is committed to the highest standards of ethics, integrity and fair dealing in the conduct of business. We recognise that we are accountable to our stakeholders under the legal and regulatory requirements applicable to the business. We 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.

 

  • FAIS Disclosure
  • Conflict of Interest Management Policy
  • Access to Information Manual

Accountable Regulators

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 Financial Advisory and Intermediary Services Act No. 37 of 2002 as amended.

 

FAIS is legislation that aims to regulate advice and intermediary services to clients. All financial service providers who are authorised to operate under a FAIS licence have to adhere to certain standards and processes.

 

Our FSP licence number is 43114. 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.

 

Insurance

We have Professional Indemnity and Fidelity Guarantee cover in place to indemnify us against negligence, theft, fraud, errors and omissions.

EXTERNAL SERVICE PROVIDERS

  • Administration

 

  • Auditors 
  • Bookkeeper 
  • Compliance 
  • Human Resources 
  • IT 
  • Legal Advisor 

Prescient
Administration Services
BDO
Siyagcina Consultants
Moonstone
Indima Recruitment
Complete IT Services
Herold Gie Attorneys

You must look within for value, but must look beyond for perspective.
Denis Waitley

Complaints Handling Procedure

If you have complaints about any of our representatives, the information they provide you, their conduct, or any complaint relating to Mianzo’s services please contact our Compliance Officer in writing.

 

  • Email:                                 info@mianzo.co.za
  • Physical Address:          Unit EG01, Vesta House, The Forum, Northbank Lane, Century City, 7441
  • Contact:                             +27 21 552 3555

 

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

B-BBEE and TRANSFORMATION

Mianzo is dedicated in creating sustainable black economic empowerment and transformation of the industry mainly through:

 

  • Ownership
  • Management control
  • Skills development – Through the continuous education and development of staff members
  • Socio-economic development – Through various SRI initiatives.

Mianzo Asset Management is wholly owned by management and staff and complies with the Black Economic Empowerment legislation in terms of South Africa’s Broad Based Black Economic Codes and the Financial Sector Charter. We are rated as a Level 1 contributor in terms of our contribution to black economic advancement. Details of our certification are available on request.