Regulatory information and Documents

Conflict-of-Interest Management Policy

Blaauwberg Financial Advisors has adopted and implemented a Conflict-of-Interest Management Policy that complies with the provisions of the FAIS Act. You can e-mail info@b-fa.co.za to request a copy of the FSP's Conflict of Interest Management Policy.

Treating Consumers Fairly Policy

We are governed and guided by a set of principles introduced by the Financial Sector Conduct Authority (FSCA) called TCF (Treating Customers Fairly) to aid and underpin existing financial services legislation aimed at the protection of consumers and clients. TCF principles are embedded in our culture at BFA and we continuously strive to enhance the quality of our service offering to clients and through our interaction with contracted product suppliers.

Complaints Management Framework and Policy

Should you wish to pursue a complaint against a key individual or representative of Blaauwberg Financial Advisors, you should address the complaint in writing to us at info@b-fa.co.za.


You can also request a copy of the FSP’s Complaints Management Policy from said e-mail address.

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 Share Call number 012 762 5000 or https://www.faisombud.co.za/how-to-complain/ . The Ombud has been created to provide you with a redress mechanism for any inappropriate financial advice that you feel may have been given to you by a financial adviser.

Promotion of Access to Information Policy

This information manual provides an outline of the types of records held by Blaauwberg Financial Advisors 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”).


Use this link to access the Guides developed by the Information Regulator in each of the 11 official languages, to

assist a person on how to access his/her personal information: https://inforegulator.org.za/paia-guidelines/

The following document and forms are available for download:

  • PAIA Manual
  • FORM 1 – Request for copy of Guide
  • FORM 2 – Request for access to record
  • FORM 3 – Outcome of request and fees payable