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Information & Procedures

AUTHORISED FINANCIAL SERVICES PROVIDER

GJM Ultra Brokers 1 (Pty) Ltd is an authorized financial services provider (FSP number 26085) in terms of Section 8 of the FAIS Act.

A copy of our licence is available on request.

FSP Name

GJM Ultra Brokers 1 (Pty) Ltd

Registration number

2017/524744/07911

Contact person

Tanya van Niekerk

Email

tanya@ultrabrokers.co.za

Telephone number

011 455 2015

 

COMPLIANCE OFFICER

 

Masthead (Pty) Ltd

021 686 3588

info@masthead.co.za

www.masthead.co.za

 

 

 

CONFLICT OF INTEREST MANAGEMENT POLICY

 

GJM Ultra Brokers 1 (Pty) Ltd has adopted and implemented a Conflict of Interest Management policy that complies with the provisions of the FAIS Act. The Conflict of Interest Management policy is published on our website, click here to read it. You can also email tanya@ultrabrokers.co.za to obtain a copy of it.

 

 

COMPLAINTS PROCEDURE

 

Should you wish to pursue a complaint against a key individual or representative of GJM Ultra Brokers 1 (Pty) Ltd, you should address the complaint in writing to us at tanya@ultrabrokers.co.za. If you cannot settle your complaint with us, you are entitled to refer it to the Office of the FAIS Ombud, at info@faisombud.co.za or telephone 0860 663 247. The Ombud has been created to provide you with a redress mechanism for any inappropriate financial advice that you may have been given to you by a financial advisor.

 

 

 

TCF POLICY

Our Treating Customers Fairly policy is centred around the guidelines provided by the Financial Sector Conduct Authority to ensure we consistently deliver fair outcomes to our clients and take responsibility for the business and staff providing an enhanced service quality to clients, based on a culture of openness and transparency. As a business, we take the requirements of the FSCA seriously, in particular, the requirement to treat customers fairly.

 

 

 

PAIA MANUAL

This information manual provides an outline of the types of records held by GJM Ultra Brokers 1 (Pty) Ltd and explains how one may submit requests for access to these records in terms of the Promotion of Access to information Act, 2 of 2000 ("the Act"). It can be read here