FAIS General Code of Conduct definition

FAIS General Code of Conduct means the General Code of Conduct for Authorised Financial Services Providers and Representatives published in Board Notice No. 80 of 2003, and amended from time to time, under section 15 of the FAIS Act;
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Examples of FAIS General Code of Conduct in a sentence

  • Section 3A(2)(a) of the FAIS General Code of Conduct (“GCOC) stipulates that every financial services provider, other than a representative, must adopt, maintain and implement a conflict of interest management policy that complies with the provisions of the Act.

  • A complete list of associates will be made available, on request, to any person(s) legally entitled thereto, and provided that the FAIS financial service giving rise to the request was rendered in terms of the FAIS General Code of Conduct.

  • General awareness training will be provided to all Employees in accordance with the MMI Conflict of Interest Policy training which caters for awareness and understanding of the requirements set out in Section 3A of the FAIS General Code of Conduct.

  • The organizations3031 sampled for this study were randomly selected from a list compiled by the Ministry of Food and3233 Agriculture (MoFA), which included only organizations at the village level (i.e. no unions,3435 federations or other forms of apex organizations).

  • A Financial Services Provider in terms S3A(2)(a) of the FAIS General Code of Conduct is required to have a Conflict of Interest Policy.

  • The Financial Advisory and Intermediary Services Act 37 of 2002 (“FAIS Act”) and FAIS General Code of Conduct for Authorised Financial Service Providers and Representatives, 2003 (the Code) require that all licensed financial service providers (“FSP’s”) must have internal systems and procedures in place for the purpose of timeous and efficient resolution of complaints within the specified timeframes.

  • Independence of advice in 3rd party co-branded arrangements On the question whether advice provided by the 3rd party investment manager (where it is also licensed for advice) or members of its group may describe its advice as “independent”, we confirm that the same prerequisites for this designation as set out in pending changes to the FAIS General Code of Conduct and in the RDR Discussion Document on Adviser Categorisation and Related Matters, will apply where the adviser operates as an RFA.

  • Par 2 encapsulates the ethos of the FAIS General Code of Conduct.

  • This policy addresses amendments to the Financial Advisory and Intermediary Services Act (herein after referred to as FAIS) General Code of Conduct as published in the Government Gazette of 19 April 2010.

  • TymeBank is therefore committed to the effective management of conflicts of interest in accordance with the requirements of the Financial Advisory and Intermediary Services Act (“FAIS”) and the FAIS General Code of Conduct.

Related to FAIS General Code of Conduct

  • Supplier Code of Conduct means the code of that name published by the Government Commercial Function originally dated September 2017, as may be amended, restated, updated, re-issued or re-named from time to time;

  • Corporations Law means the Corporations Law of the Commonwealth of Australia as applying in each State and Territory of Australia;

  • Code of Conduct means an agreement or set of rules not imposed by law, regulation or administrative provision of a Member State which defines the behaviour of traders who undertake to be bound by the code in relation to one or more particular commercial practices or business sectors;

  • POPI Act means the Protection of Personal Information Act, 4 of 2013;

  • Promotion of Access to Information Act ’ means the Promotion of Access to Information Act, 2000 (Act No. 2 of 2000);

  • Data Protection Law means the applicable legislation protecting the fundamental rights and freedoms of persons and their right to privacy with regard to the processing of Personal Data under the Agreement (and includes, as far as it concerns the relationship between the parties regarding the processing of Personal Data by SAP on behalf of Customer, the GDPR as a minimum standard, irrespective of whether the Personal Data is subject to GDPR or not).

  • Ethics means a set of principles governing the conduct of all persons governed by these rules.

  • Uniform Commercial Code means the New York Uniform Commercial Code as in effect from time to time.

  • Business Corporations Act means the Business Corporations Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act;

  • IBC Code means Insolvency and Bankruptcy Code, 2016 as amended from time to time;

  • Constitutive Act means the Constitutive Act of the African Union;

  • IMDG Code means the International Maritime Dangerous Goods Code, for the implementation of Chapter VII, Part A, of the International Convention for the Safety of Life at Sea, 1974 (SOLAS Convention), published by the International Maritime Organization (IMO), London;

  • Data Protection Laws means all laws and regulations that govern the access, use, disclosure, or protection of Personal Data to which a party is subject with respect to the Service or the Software.

  • Applicable Data Protection Law means all data privacy or data protection laws or regulations globally that apply to the Processing of Personal Information under this Data Processing Agreement, which may include Applicable European Data Protection Law.

  • Governing statute of an organization means the statute that governs the organization's internal affairs.

  • Code of Ethics means a statement encompassing the set of rules based on values and the standards of conduct to which suppliers are expected to conform

  • Interpretation Act means the Interpretation Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act;