The Financial Advisory and Intermediary Services Act, 2002
Client Complaint Process
Code for Responsible Investing in South Africa (CRISA)
FTSE/JSE Africa Index Series
Copyright 2016
Disclaimer
Email Legal Notice

The Financial Advisory and Intermediary Services Act, 2002

Excelsia Capital Proprietary Limited is an authorised financial services provider in terms of the Financial Advisory and Intermediary Services Act 2002 (FSP No. 46756). Excelsia Capital is not authorised to and does not provide financial advice. Accordingly, all information contained in this website should not be construed, or relied upon, as advice. If you require financial advice, please engage the services of an independent financial adviser.

Code for Responsible Investing in South Africa (CRISA)
The Code for Responsible Investing in South Africa (CRISA) gives guidance on how the institutional investor should execute investment analysis and investment activities and exercise rights so as to promote sound governance. It applies to all institutional investors as asset owners and to their service providers, which includes fund managers such as Excelsia Capital. Our CRISA commitment is available here.
Excelsia Capital - CRISA Code.pdf

Client Complaint Process
Any client of Excelsia Capital Proprietary Limited may lodge a complaint in the manner described in this document.

Complaint” means a specific complaint relating to a financial service rendered by Excelsia Capital or any of its representatives to the complainant. The complainant must allege in the complaint that Excelsia Capital or its representative:
- has contravened or failed to comply with a provision of applicable legislation and that as a result thereof the complainant has suffered or is likely to suffer financial prejudice or damage; or
- has 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; or
- has treated the complainant unfairly.

Complaints which do not satisfy the above definition, while always taken very seriously, will not necessarily follow the procedure outlined in this document.

Clients may complain by telephone, however, to ensure that all complaints are properly understood, clients are urged to submit complaints in writing to one of the following addresses:
Email: info@excelsia.co.za
Telephone: 021 276 1740
Postal Address: Excelsia Capital, 3rd Floor, Sunclare Building, 21 Dreyer Street, Claremont, 7708
Physical Address: Excelsia Capital, 3rd Floor, Sunclare Building, 21 Dreyer Street, Claremont, 7708

The complaint must contain all relevant information and copies of relevant documentation must be attached to the written complaint.

Upon receipt by Excelsia Capital of the above mentioned information, the complaint will be acknowledged by senior management who will assist in the resolution of the complaint.

Excelsia Capital will provide the complainant with a time frame within which it is likely to complete its investigation into the complaint but, depending on the complexity of the complaint, this may not always be possible.

A full record of each complaint received and all subsequent correspondence will be kept by Excelsia Capital for such periods as prescribed by relevant legislation.

Where a complaint has not been resolved in favour of the complainant within six weeks of receipt of the complaint, Excelsia Capital will send a communication that addresses all the issues and advises the complainant:
-that the complaint may be referred to the FAIS Ombud or other relevant adjudicator if the complainant wishes to pursue the complaint, together with the contact details of such adjudicator; and
- that it should be done within six months of receipt of such notification.

Contact details for the FAIS Ombud:
Physical Address
FAIS Ombud
Eastwood Office Park
Baobab House
Ground Floor
Lynnwood Ridge
0081

Postal Address
PO Box 74571
Lynnwood Ridge
0040

Client Contact Department
0860FAISOM (0860324766)
Tel: +27 12 470 9080
Fax: + 27 12 348 3447
Email: info@faisombud.co.za
www.faisombud.co.za

FTSE/JSE Africa Index Series
The FTSE/JSE Africa Index Series is calculated by FTSE International Limited ("FTSE") in conjunction with the JSE Limited ("JSE") and the FTSE World Index by FTSE in accordance with standard criteria. The FTSE/JSE Africa Index Series is the proprietary information of FTSE and the JSE. The FTSE World Index is the proprietary information of FTSE. FTSE is a trademark of the London Stock Exchange Group of Companies. All copyright subsisting in the index values and constituent lists of the FTSE/JSE Africa Index Series vests in FTSE and the JSE jointly and of the FTSE World Index in FTSE. All their rights are reserved.

Copyright 2016
This website and its content are owned by Excelsia Capital Proprietary Limited or its licensors and are protected by copyright and other intellectual property laws. All rights not expressly granted are reserved. Excelsia Capital authorises you to view, download, print and distribute a copy of the information contained on the website for personal non-commercial use only.

Disclaimer
The information and content accessible through this site are provided by Excelsia Capital Proprietary Limited as general information about the company and its products and services. Any information or content contained in this website is not intended nor does it constitute financial, tax, legal, investment, or other advice. Nothing contained in any service or any other content on our website constitutes a solicitation, recommendation, endorsement or offer by Excelsia Capital, but shall merely be deemed to be an invitation to do business.

Excelsia Capital may use the services of other organisations to provide information on this website. While reasonable care is taken in selecting such other service providers and in monitoring the information they provide on this website, representations or warranties of any nature (whether express or implied) are made as to the accuracy, appropriateness or correctness of any such information. You acknowledge and agree that we will not be directly or indirectly liable for any damage that may arise from your reliance on such information.

Links to third party websites are provided only for your convenience and you remain solely responsible for complying with the terms and conditions applicable to such third party websites.

Email Legal Notice
The Financial Advisory and Intermediary Services Act, 2002

Excelsia Capital Proprietary Limited is an authorised financial services provider in terms of the Financial Advisory and Intermediary Services Act 2002 (FSP No. 46756). Excelsia Capital is not authorised to and does not provide financial advice. All information contained in this email communication, including attachments, should not be construed, or relied upon, as advice. If you require financial and/or investment advice, please engage the services of an independent financial adviser.

Confidentiality warning
The contents of this email and any accompanying documentation are confidential and may be subject to legal privilege and client confidentiality. Any use thereof, in whatever form, by anyone other than the addressee is strictly prohibited. If you are not the intended recipient of this email, kindly notify the sender by return email or telephone, as well as deleting it from your system. You may not copy this email or disclose its contents to any other person, without our express written consent.

Copyright notice
The content of this email and any accompanying documentation relating to Excelsia Capital Proprietary Limited are owned by Excelsia Capital and are protected by copyright and other intellectual property laws. All rights not expressly granted are reserved.

Electronic communications
By communicating with us through electronic means, you consent to receiving communications electronically and agree that all agreements, notices, disclosures and all other communications transmitted by electronic means satisfy any legal requirement, including but not limited to the requirement that such communication should be in writing. Unless otherwise agreed, we are only deemed to have received an email once we have confirmed receipt thereof; and we are only deemed to have sent an email once reflected as 'sent' on our email server.

Disclaimer
Excelsia Capital shall not be liable if any variation is affected to any document or correspondence emailed unless the variation has been approved by the sender thereof. Excelsia Capital cannot be held liable for any harm or loss resulting from viruses in this message or attachments, including data corruption resulting therefrom. Excelsia Capital therefore disclaims liability or legal responsibility for the non-delivery or incorrect delivery for whatever reason of the contents of this message, its effect on electronic devices or its transmission in an unencrypted medium.

Personal use by employees
Excelsia Capital is not able to distinguish between business and personal emails. Users who make use of Excelsia Capital's email system do so at their own risk and accept responsibility for any actions or consequences that arise from such personal use. Any views or opinions expressed in such messages are those of the individual sender and do not create obligations on or represent any commitment by Excelsia Capital, except where the sender specifically states it to be the views or opinions of Excelsia Capital. If this message contains offensive, derogatory or defamatory statements or materials, it means the message has been sent outside the sender's scope of employment with Excelsia Capital and only the sender can be held liable in his/her personal capacity.

Interception and monitoring
Users who make use of Excelsia Capital's email system do so at their own risk and accept responsibility for any actions and consequences that arise from use. In general terms, Excelsia Capital does not engage in blanket monitoring of communications. Excelsia Capital does however reserve the right at any time and without notice to intercept and monitor communications and stored files sent or received over or stored on Excelsia Capital's information and communications systems, provided that such monitoring and interception is performed by an Excelsia Capital representative properly authorised by Excelsia Capital, for a lawful purpose.

Offer
Nothing contained in this email constitutes a solicitation, recommendation, endorsement or offer by Excelsia Capital, but shall merely be deemed to be an invitation to do business.

Governing law
This email and any accompanying documentation are to be interpreted and implemented in accordance with the laws of the Republic of South Africa.

Company details
Excelsia Capital Proprietary Limited
Registration No. 2015/131328/07
3rd Floor, Sunclare Building
21 Dreyer Street
Claremont
7708

Director: R Ambekar