Disclosures concerning Graaffs Trust Limited
(As required by the Financial Advisory and Intermediary Services Act)| Full business name: | GRAAFFS TRUST LIMITED | |
| Registration number: | 1952/000684/06 | |
| FSP number | 709 | |
| Physical address: | 3rd Floor, No. 9 Church Square, Cape Town, 8001 | |
| Postal address: | P O Box 1609, Cape Town, 8000 | |
| Telephone number: | +27 21 464-3100 | |
| Fax number: | +27 21 461 7492 | |
| Email address: | info@graaffs.co.za | |
| Web address: | www.graaffs.co.za | |
| Compliance officer: | MOONSTONE COMPLIANCE (PTY) LTD | |
| Contact person: | CHARMAINE TERBLANCHE | |
| Telephone number: | +27 21 883 8000 | |
| Email address: | cterblance@moonstonecompliance.co.za | |
| Key individual & representative: | BRETT GAVIN MOORE (BComm Dip.Acc CA(SA)) | |
| Position held: | Executive Director | |
| Telephone number: | +27 21 204 7488 | |
| Email address: | brett@graaffs.co.za | |
| Key individual & representative: | JENNIFER CRESSWELL (BAcc CA(SA) HDip.Tax) | |
| Position held: | Executive Director | |
| Telephone number: | +27 21 464 3100 | |
| Email address: | jenny@graaffs.co.za | |
| Representative: | FIONA JEAN MCKEND(BCom LLB HDip.Tax TEP) | |
| Position held: | Executive Director | |
| Telephone number: | +27 21 204 7490 | |
| Email address: | fiona@graaffs.co.za | |
| Representative: | NINA LOOTS(BCom LLB) | |
| Position held: | Client Manager | |
| Telephone number: | +27 21 204 7492 | |
| Email address: | nina@graaffs.co.za | |
| Representative: | SHANICE DAVIDS (Professional Accountant (SA)) (under Supervision) |
|
| Position held: | Finance Assistant | |
| Telephone number: | +27 21 464 3100 | |
| Email address: | shanice@graaffs.co.za |
Graaffs Trust Limited holds a Category I and II FSP licence.
Brett Gavin Moore is authorised to provide financial services with respect to the following sub-categories:
| CATERGORY I | CATERGORY II | ||
| SUBCATERGORY | ADVICE | INTERMEDIARY | INTERMEDIARY |
| Shares | X | X | X |
| Money market instruments | X | X | X |
| Debentures and securitised debt | X | X | X |
| Warrants, certificates and other instruments | X | X | X |
| Bonds | X | X | X |
| Collective investment schemes | X | X | X |
| Collective investment schemes – Hedge funds | X | X | X |
| Long term deposits | X | ||
| Short term deposits | X | X | X |
| Structured deposits | X | X | X |
Jennifer Cresswell is authorised to provide financial services with respect to the following sub-categories:
| CATERGORY I | CATERGORY II | ||
| SUBCATERGORY | ADVICE | INTERMEDIARY | INTERMEDIARY |
| Shares | X | X | X |
| Money market instruments | X | X | X |
| Debentures and securitised debt | X | X | X |
| Warrants, certificates and other instruments | X | X | X |
| Bonds | X | X | X |
| Long term deposits | X | ||
| Short term deposits | X | X | X |
| Structured deposits | X | X | X |
Fiona Jean McKend is authorised to provide financial services with respect to the following sub-categories:
| CATERGORY I | CATERGORY II | ||
| SUBCATERGORY | ADVICE | INTERMEDIARY | INTERMEDIARY |
| Shares | X | X | X |
| Money market instruments | X | X | X |
| Bonds | X | X | X |
| Long term deposits | X | ||
| Short term deposits | X | X | X |
| Structured deposits | X | X | X |
Nina Loots is authorised to provide financial services with respect to the following sub-categories:
| CATERGORY I | CATERGORY II | ||
| SUBCATERGORY | ADVICE | INTERMEDIARY | INTERMEDIARY |
| Shares | X | X | X |
| Money market instruments | X | X | X |
| Debentures and securitised debt | X | X | X |
| Warrants, certificates and other instruments | X | X | X |
| Bonds | X | X | X |
| Collective investment schemes | X | X | X |
| Collective investment schemes – Hedge funds | X | X | X |
| Long term deposits | X | ||
| Short term deposits | X | X | X |
| Structured deposits | X | X | X |
Shanice Davids is authorised to provide financial services (under supervision of Jennifer Cresswell) with respect to the following sub-categories:
| CATERGORY I | CATERGORY II | ||
| SUBCATERGORY | ADVICE | INTERMEDIARY | INTERMEDIARY |
| Shares | X | X | X |
| Money market instruments | X | X | X |
| Debentures and securitised debt | X | X | X |
| Warrants, certificates and other instruments | X | X | X |
| Bonds | X | X | X |
| Long term deposits | X | ||
| Short term deposits | X | X | X |
| Structured deposits | X | X | X |
No conditions or restrictions have been imposed by the Registrar.
SPECIFIC DISCLOSURES
- Graaffs Trust Limited does not own more than 10% of issued shares directly or indirectly of any Life Assurer or Financial Product provider.
- Graaffs Trust Limited is not an associated company of any life assurer or product provider.
- Graaffs Trust Limited has not earned more than 30% of its total commission from any one product provider within the past 12 months.
- From time to time its staff may receive indirect consideration from product providers. A gift register is available for inspection upon request.
- Graaffs Trust Limited has a Conflict-of-Interest Policy that is available upon request.
- Graaffs Trust Limited has Professional Indemnity Insurance cover of R25 million with SHA Admiral obo Santam Ltd and also holds a Fidelity Guarantee of R1 million arranged with Zurich SA Insurance Company.
- Graaffs Trust Limited uses the following product suppliers: - Investec Securities Limited; Nedbank Limited; Standard Bank of SA Limited; Investec Bank Limited; Prescient Management Company (RF) (Pty) Ltd and Stonehage Fleming Pooled Invs (IRL) PLC. Physical and postal addresses, telephone numbers, name and contact details of their compliance department are available upon request.
- No conditions or restrictions have been imposed by any of the above product suppliers.
- The Representatives are authorised representatives of Graaffs Trust Limited and have been appointed in terms of a written agreement. Graaffs Trust Limited accepts responsibility for its own actions and for the actions of the Representatives that may be performed by him or her acting within the course and scope of the written agreement.
- Graaffs Trust Limited hereby undertakes not to request or induce you in any manner to waiver any right or benefit conferred on you by, or in terms of, any provision of the FAIS Act and Code of Conduct. All information obtained or acquired from/about you shall remain confidential unless you provide written consent, or unless Graaffs Trust Limited is required by law to disclose such information.
- If you feel that your rights have been prejudiced, or you have been aggrieved in any way, you have the right to lodge a complaint. A copy of the complaints process is available upon request.
- Moonstone Compliance (Practice No 188) can be contacted at:
Physical address: 25 Quantum Street, Technopark, Stellenbosch, 7600
You are hereby advised and cautioned that no person acting on behalf of the provider may in the course of the rendering of a financial service request you to sign any written or printed form or document unless all material details required to be inserted thereon by you or on your behalf have already been inserted.
RESPONSIBILITY FOR CORRECTNESS AND COMPLETENESS OF INFORMATION
Please be aware when completing any documentation or providing any information, that all material facts must be accurately and properly disclosed. You are entirely responsible for the accuracy and completeness of all answers, statements or other information provided by you or on your behalf.
Please note that all material facts in respect of any application, proposal, order, instruction or other contractual information that is required to be completed for, or submitted to a product supplier by or on your behalf that relates to the purchase of an investment in any financial product, including any amendment thereof or variation thereto, must be accurately or properly disclosed.
Any misrepresentation or non-disclosure of a material fact or the inclusion of incorrect information could result in the cancellation of the transaction by the product supplier.