FAIS Disclosure
1. Company Information
Runnerstone Capital (Pty) Ltd t/a Runnerstone (The “Company”/ “Runnerstone”) is a Private Company registered in the Republic of South Africa with registration number 2008/027531/07.
The Company’s contact details are as follows:
Contact person:
Aletsia Marais
Physical and postal address:
Head Office: First Floor Cedarwood House, Ballywoods Office Park, 33 Ballyclare Dr, Bryanston, Johannesburg 2191
Other Location:
32 Dorp Street, Stellenbosch 7600
Telephone: +27 87 266 0135
E-mail address: info@runnerstone.com
Website: www.runnerstone.com
2. Financial Services and Products
The Company is an authorised Financial Services Provider in terms of the Financial Advisory and Intermediary Services Act, Act 38 of 2002 (“FAIS”) (License Number 43799) and a copy of the licence is available on request.
It is authorised to render advisory, intermediary and discretionary financial services in respect of the following financial products:
CATEGORY I - Advisory and Intermediary
Securities and Instruments: Shares, Securities and Instruments
Securities and Instruments: Warrants, certificates and other instruments
CATEGORY II - Discretionary
Securities and Instruments: Shares, Securities and Instruments
3. Authorised Key Individuals and Representatives
The Financial Sector Conduct Authority (FSCA) has duly authorised the following key individuals and representatives to render financial services as defined in terms of FAIS:
Key Individuals: Herc van Wyk I Ravi Kalaichelvan
Representatives: Michael Jacobs I Helena Sathekge
The Key Individuals and Representatives are full time employees of the Company and meet the fit and proper requirements as prescribed by FAIS. The Company accepts responsibility for the activities of these individuals in rendering financial services within the course and scope of their employment contracts. Please note that the Company does not provide any advisory services.
4. Professional Indemnity Insurance
The Company holds Professional Indemnity Insurance cover.
5. Waiver of Rights
As an authorised Financial Services Provider, the Company may not request or induce in any manner a client to waive any right or benefit conferred on the Client by or in terms of any provision of the General Code of Conduct, or recognise, accept or act on any such waiver by a client.
6. Conflict of Interest
The Company places a high priority is placed on a client’s interest. If a conflict-of-interest situation cannot be avoided, it will manage this conflict equitably and, in the client’s, best interest as an integral part of its ethos. The Company maintains an active Conflict of Interest Management Policy which is available on request.
7. Complaints
If you feel that your rights have been prejudiced, or you have been aggrieved in any way, you have the right to lodge a complaint. A copy of the complaints process is available upon request. Please contact our office should you wish to get more detailed information in this regard.
If your complaint is not resolved to your satisfaction in terms of the internal complaints process, then you may direct your complaint directly to the FAIS Ombud using any of the following contact details:
Physical address:
FAIS Ombud I Kasteel Park Office Park, 2nd Floor, Orange Building, Cnr of Nossob and Jochemus Street, Erasmuskloof, Pretoria
Postal address:
P.O. Box 74571
Lynnwood Ridge
0040
Telephone: +27 (012) 470 9080
Facsimile: + 27 12 348 3447
E-mail address: info@faisombud.co.za
Website: www.faisombud.co.za
Compli-Serve (Gauteng) (Pty) Ltd is the businesses compliance officer and is represented by Jan Hendrik Scholtz. Compli-Serve can be contacted at:
Physical and postal address:
Unit 9, Meadowridge Shopping Centre, 15 Howard Drive, Meadowridge, Cape Town, Western Cape, 7806
Telephone: +27 (021) 883 8000
Facsimile: + 27 (021) 883 8005
E-mail address: jan@compliserve.co.za
Website: www.compliserve.co.za