Skip to main content

Complaints Policy

About us

Chartered Wealth Solutions (Pty) Ltd, Registration Number: 1997/011199/07 (“Chartered”) is an authorised Financial Services Provider (FSP No. 13909). Chartered is committed to building a long-term relationship with our clients that is based on fair business practices, honesty and trust. In light of this, Chartered has established an internal complaints policy for the resolutions of complaints.

What is a complaint?

In terms of the Financial Advisory and Intermediary Services Act, 37 of 2002 (“FAIS”), a complaint is defined as any expression of dissatisfaction from a client or prospective client relating to a financial service rendered by an authorised Financial Services Provider or representative thereof to the complainant.

The complaint should allege that the provider or representative has:

  • contravened or failed to comply with the provisions of FAIS and as a result the complainant has suffered or is likely to suffer financial prejudice or damage;
  • wilfully or negligently rendered a financial service to the complainant which has caused prejudice or damage to the complainant or which is likely to result in such prejudice or damage;
  • treated the complainant unfairly.

How to submit a complaint

Should you wish to make a complaint or provide feedback, you may contact us at the below addresses. All complaints must be made in writing.

Compliance Officer

Chartered Wealth Solutions
2 North Road
Dunkeld West

Tel:+27(0) 11 502 2800

What happens once you have submitted your complaint?

Upon receiving your complaint, the Compliance Officer will:

  • Log your complaint in our internal complaints register which we regularly maintain. Our Compliance Officer will send you an acknowledgement of receipt within three working days of receiving your complaint.
  • Request further documents/information and investigate the complaint.
  • Finalise the outcome of the investigation and provide you with a written response indicating:
    • Full and appropriate redress; or
    • Reasons why the complaint could not be finalised.

When will your complaint be finalised?

Once your complaint has been received by the Compliance Officer and you have been sent an acknowledgement of receipt, Chartered will finalise any necessary investigations and provide you with a final response within six weeks. A complaint is only deemed to be finalised once a final response has been provided to you and consensus as to the outcome has been reached.

If your complaint cannot be resolved within six weeks, Chartered will inform you of this and advise on the status of the investigation and provide you with an expected timeline to resolve the matter.

Should you not be satisfied with Chartered’s final response, you may refer your complaint to the FAIS Ombud at the details below. Note that you must do this within six months of receiving Chartered’s final response (this is a requirement of the Ombud).





Kasteel Park Office Park
Orange Building
2nd Floor, 546 Jochemus Street
Erasmus Kloof

P.O Box 74571, Lynwood Ridge, 0040

Tel: 012 762 5000 / 012 470 9080
Fax: 012 348 3447 / 012 470 9097 / 086 764 1422 /

The FAIS Ombud may not consider your complaint if:

  • the amount claimed is in excess of R800 000;
  • the complaint relates to an act or omission which occurred prior to the date of the commencement of FAIS (being 15 November 2002);
  • the matter is under litigation;
  • the complaint was not referred to the FAIS Ombud within six months of Chartered’s final response.

Record keeping

In accordance with FAIS, all complaints and complaint-related information will be retained by Chartered for a period of at least five years from the date of receipt of the complaint. This may include personal information relating to the complainant and the details of the complaint as well as all correspondence.