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We, <\/span>ATRIAFINANCIAL SA (PTY) LTD<\/span><\/strong> (hereinafter, the \u201cCompany\u201d), have adopted this Complaints Procedure in order to ensure a fair and quick process for handling complaints that may arise from our relationship.<\/span><\/p>\n .<\/span><\/span><\/p>\n Our complaints handling is provided to all our clients should they feel that any representations of the Company has contravened or failed to comply with either our Client Agreement, our customer services or any fair-trading guidelines which we operate under. Therefore, these complaint handling rules, the Company shall deal with any expression of dissatisfaction regarding any financial services activity provided or withheld by the Company in you suffering or likely to suffer:<\/span><\/p>\n (i) financial prejudice or damage;<\/span><\/p>\n (ii) or in any representative of the Company has willfully or negligently rendered a financial service to you which has, or is likely to cause prejudice or damage;<\/span><\/p>\n (iii) or where you believe you have been treated unfairly and\/or badly. <\/span><\/p>\n <\/span><\/p>\n (iv) or administrative service failures. <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n (v) or misrepresentation or failure to disclose key product information. <\/span><\/p>\n .<\/span><\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n (vi) or breaches of confidentiality without the client\u2019s consent <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n (vii) or complaint that Financial Adviser acted without client\u2019s knowledge\/consent <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n (viii) or complaint that a an investment was executed without client\u2019s knowledge. <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n (ix) oor Complaint that representative cannot accurately account for funds invested by the client. <\/span><\/p>\n <\/span><\/p>\n <\/span><\/p>\n The Company considers important and essential to pay the proper attention to each and every complaint made by a client, irrelevant of the subject matter of the complaint.<\/span><\/p>\n .<\/span><\/span><\/p>\n 1. Submitting your Complaint <\/span><\/strong><\/p>\n You may submit your complaint in writing and address it to the <\/span>Complaints Officer <\/span><\/strong>of the Company who is authorized to handle and investigate complaints that may be submitted to them from our Clients.<\/span><\/p>\n .<\/span><\/span><\/p>\n You are encouraged to use the <\/span>Complaints Form<\/em><\/span><\/strong> attached herein and submit it in the following way:<\/span><\/p>\n .<\/span><\/span><\/p>\n By submitting the Complaints Form electronically at the following email address: <\/span>complaints.sa@evest.com<\/span><\/a> , along with a copy of any additional documentation that would be relevant to the complaint. <\/span><\/p>\n .<\/span><\/span><\/p>\n Clients can submit complaints to the Company free of charge.<\/span><\/p>\n .<\/span><\/span><\/p>\n We will acknowledge receipt of your complaint within five (5) business days from the receipt of your complaint and provide you the <\/span>unique reference number<\/span> of your complaint. The unique reference number should be used in all your future contact with the Company and the Office of the Ombud for Financial Service Providers of South Africa regarding the specific complaint. <\/span><\/p>\n .<\/span><\/span><\/p>\n The Complaints Officer of the Company is responsible for the formulation, adoption and implementation of the internal complaints. All complaints will be handled by suitably qualified person.<\/span><\/p>\n .<\/span><\/span><\/p>\n<\/div>\n<\/div>\n 3.1. Once we acknowledge receipt of your complaint in writing, we will review it carefully, investigate the circumstances surrounding your complaint and will try to resolve it without undue delay. <\/span><\/p>\n .<\/span><\/span><\/p>\n (i) We shall make every effort to investigate your complaint and provide you with the outcome of our investigation within six weeks from the date you have submitted your complaint to us. During the investigation process will keep you updated of the handling process of your complaint. One of our officers may contact you directly (including communication by email or phone) in order to obtain further clarifications and information relating to your complaint. We will require your full cooperation in order to expedite the investigation and possible resolution of your complaint. <\/span><\/p>\n .<\/span><\/span><\/p>\n (ii) In the event that your complaint requires further investigation and we cannot resolve it within six weeks, we will issue a holding response in writing or another durable medium. When a holding response is sent, it will indicate the causes of the delay and when the Company\u2019s investigation is likely to be completed. In any event, we shall provide you with the outcome of our investigation no later than three (3) months from the period of submission of the complaint. Should you wish to take alternative actions then you may Proceed and contact our External Compliance officer. (see clause 3.2 below) <\/span><\/p>\n .<\/span><\/span><\/p>\n All telephone conversations between the Client and the Company will be recorded and kept by the Company and the recordings will be the sole property of the Company. The Client accepts such recordings as conclusive evidence of the compliant. <\/span><\/p>\n .<\/span><\/span><\/p>\n Faxed, mailed or emailed documents received by the Company may be electronically scanned and reproduction of the scanned version shall constitute conclusive evidence of the compliant. <\/span><\/p>\n .<\/span><\/span><\/p>\n The Company will keep records, documents and Client personal data and account opening documents, communications and anything else which relates to the Client, for at least five years after the submission of a complaint. <\/span><\/p>\n .<\/span><\/span><\/p>\n <\/p>\n 3.2. Atriafinancial SA (Pty) Ltd must contact Oracle Compliance as soon as a client complaint is received and the following complaints policy is to be followed. <\/span><\/p>\n .<\/span><\/span><\/p>\n 3.3. Should you be dissatisfied with the outcome, you must lodge a complaint in writing with our External Compliance Practice Oracle Compliance, Mr. Leonardo d\u2019Onofrio. He can be contacted at <\/span>leonardo@oraclecompliance.com<\/span><\/a> or on 011 100 2551. <\/span><\/p>\n The complaint must contain all relevant information relating to the case and all attachments thereto. <\/span><\/p>\n .<\/span><\/span><\/p>\n Should you still remain unsatisfied by the outcome of the External Compliance you may proceed with contacting the Ombud for financial service providers of South Africa or the relevant courts. <\/span><\/p>\n .<\/span><\/span><\/p>\n .<\/span><\/span><\/p>\n .<\/span><\/span><\/p>\n .<\/span><\/span><\/p>\n In case our final decision of our external Compliance Practice does not fully satisfy your demands, who shall explain to you the Company\u2019s position on the complaint and set out your options, to maintain your complaint to the Office of the Ombud for Financial Service Providers of South Africa or the relevant Courts. <\/span><\/p>\n .<\/span><\/span><\/p>\n Contact Details of the Office of the Ombud for Financial Service Providers of South Africa:<\/span><\/p>\n \u2003\u2003<\/span><\/strong><\/p>\n P.O. Box 41, 0063 <\/span><\/p>\n Menlyn Park<\/span><\/p>\n 0063<\/span><\/p>\n Phone: (012) 762 5000<\/span><\/p>\n Fax: (012) 348 3447 <\/span><\/p>\n Toll-free: 086 066 3274 <\/span><\/p>\n Email: <\/span>info@faisombud.co.za<\/span><\/a><\/p>\n