Our Services

"Together we have over 41 years of "hands-on" experience."

Additional information

Please note that a copy of the Brokerage license is available upon request. Additional information that we are required to provide you with is recorded on this page.

Financial Services & Products

I have training and experience to advise my clients in the following business lines: General Financial Planning; Estate Planning; Retirement Planning; Health Care; Investment Planning; Short Term Insurance

The Financial Sector Conduct Authority (FSCA)

The FSCA is responsible for market conduct regulation and supervision. FSCA aims to enhance and support the efficiency and integrity of financial markets and to protect financial customers by promoting their fair treatment by financial institutions, as well as providing financial customers with financial education. The FSCA will further assist in maintaining financial stability.

Lee Stoch

As required by the Financial Advisory and Intermediary Services Act 2002 (FAIS), I am required to provide you with certain information relating to my professional financial planning services. I, LEE STOCH, am an Independent Financial Adviser, Principle in my practice, Key Individual and Representative licensed as a FINANCIAL SERVICES PROVIDER under license # 3526.

I have been in practice since 1990. I have achieved a formal qualification and hold a Diploma in Business Management – July 1988. I have written and passed both of the Financial Services Board Regulatory Exams in 2011. My education within the Financial Service Industry is ongoing.

Simeon Watson-Stoch

As required by the Financial Advisory and Intermediary Services Act 2002 (FAIS), I am required to provide you with certain information relating to my professional financial planning services. I, SIMEON WATSON-STOCH, am a Representative and a Key Individual of the above Brokerage, which is a licensed FINANCIAL SERVICES PROVIDER under license # 3526.

I have been in the industry since 1998. I have attained a Certificate in Financial Planning, which affords me the required 120 credits I am required to have as a Broker. I have written and passed both Financial Services Board Regulatory Exams in 2011. My education within the Financial Service Industry is ongoing. I have been in practice since November 2009.

Waiver of Rights

Professional Indemnity Cover

The Brokerage has the above cover for
R 3 000 000 with Centriq Insurance Company Limited and has held such PI cover since 2004.

Financial Intelligence Centre Act

In terms of the Financial Intelligence Centre of Act (FICA), I/we am/are an “accountable institution” and as such, am obliged to report any suspicious and unusual transactions that may facilitate money laundering to the authorities.

Conflict Of Interest Policy

In terms of Section 3A(2)(a) of the General Code of Conduct, we have adopted, maintained and implemented a Conflict of Interest management Policy that complies with the provision of FAIS Act.

Contracts with Product Suppliers