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Financial Advisory and Intermediary Services Act, 2002 (Act No. 37 of 2002)


Proceedings of the Office of the Ombud for Financial Services Providers Amendment Rules, 2004

7. Summary dismissal of complaints


(a) Subject to Rule 4, the Ombud has the power to determine whether or not a complaint falls within the ambit of the Act and these Rules and must reject a complaint, which falls outside such ambit.
(b) The Ombud may dismiss a complaint without referral to any other party if on the facts provided by the complainant it appears to the Ombud that—
(i) the complaint does not have any reasonable prospect of success;
(ii) the respondent has made an offer which is fair and reasonable and which is still open for acceptance by the complainant;
(iii) the matter has previously been considered by the Ombud;
(iv) the essential subject of the complaint has been decided in court proceedings;
(v) the subject of the complaint is pending in court proceedings; or
(vi) the complaint or relief sought is of the nature that the Ombud can be of no assistance to the complainant.
(c) A complaint received officially may thereafter be dismissed if the complainant fails to co-operate in the pursuance or resolution of the complaint.
(d) If in the discretion of the Ombud a complaint is being pursued in a frivolous, vexatious or abusive manner, it may be dismissed summarily.
(e) The Ombud must in a manner deemed appropriate, inform parties of any dismissal of a complaint referred to in this Rule.