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

  • 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.

  • The FAIS General Code of Conduct stipulates that no financial services provider may request or induce in any manner a client to waive any right or benefit conferred on the client by or in terms of any provisions of the said Code, or recognise, accept or act on any such waiver by a client.

  • In terms of Section 8 of the FAIS General Code of Conduct we must do a suitability analysis prior to providing a client with advice.

  • 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 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 definitions relating to Complaints Management as defined in the FAIS General Code of Conduct as amended on 26 June 2020 are listed in Annexure A.

  • INTRODUCTION In terms of the FAIS General Code of Conduct a provider and a representative must avoid, and where this is not possible, mitigate any conflict of interest between the provider and a client or the representative and a client.

  • See new definition of “replace or replacement” and new section 9(1A) of the FAIS General Code of Conduct.

  • In terms of section 2 of the FAIS General Code of Conduct we must at all times render financial services honestly, fairly, with due skill, care and diligence and in the interests of clients and the integrity of the financial services industry.

  • Use of the designation “independent” 4.1. Amendments to the FAIS General Code of Conduct The FSCA published draft amendments to the FAIS General Code of Conduct for public comment in November 2017.

Related to FAIS General Code of Conduct

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

  • Code of Conduct means the SFC's Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.

  • POPI Act means the Protection of Personal Information Act 4 of 2013 as may be amended from time to time;

  • 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 or “UCC” means the Uniform Commercial Code as the same may from time to time be in effect in the State of New York or the Uniform Commercial Code (or similar code or statute) of another jurisdiction, to the extent it may be required to apply to any item or items of Collateral.

  • 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;

  • Commercial Code means the French Commercial Code.

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

  • 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 any law, statute, subordinate legislation, regulation, order, mandatory guidance or code of practice, judgment of a relevant court of law, or directives or requirements of any regulatory body which relates to the protection of individuals with regard to the processing of Personal Data to which a Party is subject including the Data Protection Xxx 0000 and any statutory modification or re-enactment thereof and the GDPR.

  • EU Data Protection Law means (i) prior to 25 May 2018, Directive 95/46/EC of the European Parliament and of the Council on the protection of individuals with regard to the processing of Personal Data and on the free movement of such data ("Directive") and on and after 25 May 2018, Regulation 2016/679 of the European Parliament and of the Council on the protection of natural persons with regard to the processing of Personal Data and on the free movement of such data (General Data Protection Regulation) ("GDPR"); and (ii) Directive 2002/58/EC concerning the processing of Personal Data and the protection of privacy in the electronic communications sector and applicable national implementations of it (as may be amended, superseded or replaced).

  • 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;

  • FCA Handbook means the FCA Handbook of Rules and Guidance as amended from time to time.

  • Data Protection Act means Act CXII of 2011 on Informational Self-Determination and Freedom of Information.