Complaints Procedure

You need to ensure that your complaint is submitted to the Head of Compliance in writing, you can either complete and submit this form, or send your compliant directly by email to: compliance@stockhouse.co.za

We will acknowledge receipt, in writing, within two business days of receipt and add your complaint to our internal complaints register.

Your complaint will be allocated to our Key Individual for initial investigation.

We may ask for additional information if needed.

Your complaint and all information relating thereto will ultimately be submitted to our Chief Operating Officer for final consideration and assessment.

We will investigate, attempt to resolve and respond within 21 days of receiving your complaint, or after receiving any additional information we require;

If we require further time to investigate the complaint, this will be communicated to you in writing.

Once the investigation is complete, we will provide you with our final assessment in writing giving full reasons for our finding. In the event of us not being able to resolve the complaint or if you are not satisfied with our response, the complaint may be referred, within a six (6) month period, to the FAIS Ombud, contact details below. Alternatively, you may consider alternative remedies after discussion with your own legal counsel.

This procedure will be reviewed on an annual basis to ensure that service delivery to you, our client, remains acceptable and of a high standard

PLEASE NOTE: We are legally obliged to consider, assess and resolve your complaint within a six-week period. The FAIS Ombud will only consider your complaint after this internal resolution process has been exhausted.

Should your complaint be referred to the Ombud, the following will apply:

The FAIS Ombud will not adjudicate in matters where the claim is in excess of R3.5 Million.

If you already instituted action in a court of law in respect of this complaint the Ombud will not consider the complaint.

If the complaint was not resolved through conciliated settlement, the Ombud may make a determination which has the same legal status of a civil court judgement.

An award of cost may be made against the person complained against.

An award of costs may be made against a complainant if the conduct of the complainant was improper or unreasonable, or if the complainant caused an unreasonable delay in the finalisation of the investigation.