Legal
Complaints Procedure
In terms of the FAIS General Code of Conduct | Last updated: 1 March 2026
1. Our Commitment
ICON Fund Managers (Pty) Ltd ("ICON") is committed to providing professional and ethical financial services. We value the trust our clients place in us and take all complaints seriously. This procedure ensures that complaints are handled promptly, fairly, and transparently in accordance with the Financial Advisory and Intermediary Services Act, 37 of 2002 (FAIS) and the General Code of Conduct for Authorised Financial Services Providers.
2. What Constitutes a Complaint
A complaint is an expression of dissatisfaction by a client relating to a financial service rendered by ICON or by a representative of ICON, which has not been resolved to the client's satisfaction. This includes complaints about the advice given, the investment products recommended, the conduct of any representative, the quality of service received, or any financial loss suffered as a result of ICON's services.
3. How to Lodge a Complaint
Complaints should be submitted in writing to our Compliance Officer. Please include the following information:
Your full name and contact details.
A clear description of the complaint, including relevant dates and the names of any ICON representatives involved.
Any supporting documentation.
The outcome or resolution you are seeking.
Submit your complaint to:
Talita Olivier, Compliance Officer
Metropolitan Investment Consulting
Email: riaan@iconinvest.co.za
Alternatively, complaints may be addressed to:
ICON Fund Managers (Pty) Ltd, Stanford Office Park, 12 Barons Road, Tyger Valley, Cape Town, 7530
4. Complaints Process
01
Acknowledgement
We will acknowledge receipt of your complaint in writing within three business days.
02
Investigation
The complaint will be reviewed by our Compliance Officer, who will investigate the matter thoroughly and impartially.
03
Response
We will provide a written response within six weeks of receipt, setting out our findings and proposed resolution.
04
Resolution
If you accept the proposed resolution, the complaint will be closed. All records will be retained as required by FAIS.
5. If You Are Not Satisfied
If you are not satisfied with our response, or if your complaint has not been resolved within six weeks, you have the right to refer the matter to the FAIS Ombud:
The FAIS Ombud
Telephone: 012 762 5000 / 012 470 9080
Email: info@faisombud.co.za
Website: www.faisombud.co.za
Physical: Sussex Office Park, 473 Lynnwood Road, Block B, Ground Floor, Pretoria, 0081
The FAIS Ombud considers complaints relating to financial advisory and intermediary services rendered by authorised financial services providers. There is no cost to you for lodging a complaint with the FAIS Ombud.
6. Record Keeping
ICON maintains an internal complaints register in accordance with FAIS requirements. All complaints, correspondence, and resolutions are recorded and retained for a minimum of five years. The complaints register is available for inspection by the FSCA upon request.
7. Regulatory Information
ICON Fund Managers (Pty) Ltd
Authorised Financial Services Provider, FSP 50649
Compliance Officer: Talita Olivier (Metropolitan Investment Consulting)
Stanford Office Park, 12 Barons Road, Tyger Valley, Cape Town, 7530