(ACT 2 OF 2000)
SECTION 51 MANUAL FOR IMB Financial Services (Pty) Ltd
Introduction to IMB Financial Services (Pty) Ltd
This private body is an authorised financial services provider that provides financial advice and renders intermediary services to clients on financial products under a license issued in terms of the Financial Advisory and Intermediary Services Act, Act 37 of 2002.
1. Contact details
Name of business:
Designated person: D. A. Grobler
Street address: 264 Victoria Road, Woodstock, Cape Town
Postal address: P.O.Box 173, Observatory, Cape Town
Telephone number: 087 941 3252
Fax number: 021 447 5502
E-mail address: email@example.com
2. The section 10 Guide on how to use the Act
The guide is available on the website of the SAHRC.
The Guide is also available from the South African Human Rights Commission. Please direct any queries to:
The South African Human Rights Commission
The Research and Documentation Department
Private Bag 2700
Telephone: 011 877 3600
Fax: 011 403 0625
3. Records available in terms of any other legislation
Basic Conditions of Employment Act No. 75 of 1997
Collective Investments Schemes Control Act No. 45 of 2002
Companies Act No. 71 of 2008
Compensation for Occupational Injuries and Health Diseases Act No. 130 of 1993
Consumer Protection Act No. 68 of 2008
Employment Equity Act No.55 of 1998
Financial Advisory and Intermediary Services Act No. 37 of 2002
Financial Intelligence Centre Act No. 38 of 2001
Financial Institutions (Protection of Funds) Act No. 28 of 2001
Financial Services Board Act No. 97 of 1990
Financial Services Ombud Schemes Act No. 37 of 2004
Friendly Societies Act No. 25 of 1956
Income Tax Act No. 58 of 1962
Insurance Laws Amendment Act No. 27 of 2008
Labour Relations Act No. 66 of 1995
Long-term Insurance Act No. 52 of 1998
Medical Schemes Act No. 131 of 1998
Occupational Health and Safety Act No. 85 of 1993
Pension Funds Act No. 24 of 1956
Prevention of Organised Crime Act No. 121 of 1998
Protection of Constitutional Democracy against Terrorist and Related Activities Act No. 33 of 2004
Security Services Act No. 36 of 2004
Short Term Insurance Act No. 53 of 1998
Skills Development Act No.97 of 1998
Skills Development Levies Act No. 9 of 1999
Unemployment Contributions Act No. 4 of 2002
Unemployment Insurance Act No. 63 of 2001
Value Added Tax Act No. 89 of 1991
4. Access to the records held by the private body
4.1. The latest notice regarding the categories of records of the body, which are available without a person having to request access in terms of this Act in terms of section 52(2):
Not applicable. Some brochures, pamphlets and documents related to the business of the private body are available without cost.
4.2. Records that may be requested:
– License of product categories
– Minutes of management meetings
– Minutes of staff meetings
– General correspondence
– Employment contracts
– Policies and procedures
– Remuneration and benefits policies and records
– Production records
– Compliance manual – FAIS
– Compliance reports
– Complaints procedures
– Contractual agreements with suppliers
– Procedures manual – FICA
– Records of advice
– Register of key individuals
– Register of representatives
– Register of non-compliance
– Record of continued compliance by representatives
– Register of premature cancellation of products
– Clients register
– Accounting and audit records
– Financial statements
– Assets inventory
4.3. The request procedures:
Form of request: (ANNEXURE A)
– The requester must use the prescribed form to make the request for access to a record. This must be made to the head of the private body. This request must be made to the address, fax number or electronic mail address of the body concerned.
– The requester must provide sufficient detail on the request form to enable the head of the private body to identify the record and the requester. The requester should also indicate which form of access is required. The requester should also indicate if any other manner is to be used to inform the requester and state the necessary particulars to be so informed.
– The requester must identify the right that is sought to be exercised or to be protected and provide an explanation of why the requested record is required for the exercise or protection of that right.
– If a request is made on behalf of another person, the requester must then submit proof of the capacity in which the requester is making the request to the satisfaction of the head of the private body.
Fees: (ANNEXURE B)
– A requester who seeks access to a record containing personal information about that requester is not required to pay the request fee. Every other requester, who is not a personal requester, must pay the required request fee:
– The head of the private body must notify the requester (other than a personal requester) by notice, requiring the requester to pay the prescribed fee (if any) before further processing the request.
– The fee that the requester must pay to a private body is R50. The requester may lodge an application to the court against the tender or payment of the request fee.
– After the head of the private body has made a decision on the request, the requester must be notified in the required form.
– If the request is granted then a further access fee must be paid for the search, reproduction, preparation and for any time that has exceeded the prescribed hours to search and prepare the record for disclosure.
5. Other information as may be prescribed
The Minister of Justice and Constitutional Development has not made any regulations in this regard.
6. Availability of the PAIA manual
The manual is available for inspection at the offices of the relevant private body free of charge.
Copies are also available with the SAHRC and on the private body’s website (if any).