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

Rules on proceedings of the office of the ombud for financial services providers, 2003

10. Liaison between Ombud and Registrar

 

 

a) The Ombud must report to the Registrar such facts or information arising from complaints as may be capable of prompting the Registrar to consider action under the Act, either generally or in relation to a particular matter.
b) Notwithstanding confidentiality constraints applicable to the Registrar’s office, the Ombud is entitled to information or sight of documentation in the Registrar’s possession, which may be relevant in the consideration of a complaint.
c) The Ombud and the Registrar must in addition regularly liaise and consult with one another as regards any matter relating to mutual administrative support and avoidance of overlapping of their respective functions.