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Financial Advisory and Intermediary Services (FAIS)

Omba Advisory & Investments Limited (Omba) is an authorised financial services provider (FSP No. 49101) in terms of the Financial Advisory and Intermediary Services Act, No.37 of 2002 (Republic of South Africa) and is subject to all FAIS regulations, including the General Code of Conduct.

Regulation and Compliance

The Financial Sector Conduct Authority (FSCA) of South Africa is the market conduct regulator of financial institutions that provide financial products and financial services. 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.

Omba Advisory & Investments Limited has contracted Compli-Serve Cape (Pty) Ltd as its independent compliance officer. Compli-Serve is a nationally represented independent provider of regulatory compliance management services and solutions to the financial services sector. Internally, one of the Omba directors is accountable for compliance and works with Compli-Serve and the FSCA in fulfilling its regulatory responsibilities and function.

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