Compliance with the following Acts

• Financial Advisory & Intermediary Services Act
• Financial Intelligence Centre Act
• Long Term Insurance Act
• Short Term Insurance Act
• Companies Act
• Employment Equity Act
• Basic Conditions of Employment Act
• Labour Relations Act
• Occupational Health and Safety Act
• Consumer Protection Act

Compliance with the following Policies and Procedures

• Conflict of Interest Policy
• Exemption in terms of Services under Supervision
• General Code of Conduct
• Money Laundering Policy
• Internal Unilateral Termination Policy
• Treating Customers Fairly Policy
• Health and Safety Policy