FINANCIAL ADVISORY AND INTERMEDIARY SERVICES. ACT 37 OF 2002 “FAIS” – REGULATORY DISCLOSURES About the Financial Service Provider “FSP” Full name, registration number and FSP Number. First National Bank (“FNB”), a division of FirstRand Bank Limited Registration No. 1929/001225/06. FSP No. 3071 Physical and Postal Address 6th Floor, 0 Xxxxx Xxxxx, Xxxxxxxx Xxxxxx, Bankcity, 2001 P O Box 1153, Johannesburg, 2000 Contact details for general enquiries Tel – 0000 00 00 00/ +00 00 000 0000 (International) website- xxx.xxx.xx.xx Compliance officer Tel – 000 000 0000 Fax – 000 000 0000 Complaints Tel – 0000 00 00 00 Fax - (000) 000 0000 Email – xxxx@xxx.xx.xx ▪ FNB is approved as a FAIS Category I, II and III licensee. FNB is duly authorized by the Financial Services Board to provide FAIS financial services in respect of the following financial products: ▪ Category I – Advice and Intermediary Services: o Long-Term Insurance Categories A, B1,B2 and C; Short-Term Insurance - Personal Commercial Lines; Long and Short Term Deposits, Pension Fund Benefits, Securities and Instruments: shares, money market, debentures and securitized debts, warrants, certificates and other instruments acknowledging debt, bonds, derivative instruments, participatory interest in Collective investment scheme, foreign currency denominated investments instrument, friendly society benefits ▪ Category II – intermediary services: o Securities and Instruments: shares, money market, debentures and securitized debts, warrants, certificates and other instruments acknowledging debt, bonds, derivative instruments, participatory interest in Collective investment scheme, foreign currency denominated investments instrument. ▪ Category III – intermediary services: o Securities and Instruments - Shares FNB does hereby declare the following: ▪ FNB holds no financial interest in the product supplier, being “FNB Life”. ▪ FNB does hold prescribed professional indemnity insurance. ▪ FNB earns commission and/or remuneration, in accordance with the Long Term and Short Term Insurance Acts. ▪ It has a written mandate to act for the product supplier, being “FNB Life. ▪ The product supplier’s products are provided under a contractual agreement between the product supplier and FNB. ▪ FNB takes responsibility for the actions of its authorized representatives insofar as they are providing financial services (some of whom may be providing FAIS financial services under supervision). ▪ About the Product Supplier Full name, registration number and FSP number FNB Life, ...
