Kaon Investment Management (Pty) Ltd is a duly licensed Financial Services Provider in terms of FAIS (FSP No. 48460). A copy of our license is available upon request.
Kaon Investment Management has adopted and implemented a conflict of interest management policy that complies with the provisions of the FAIS Act.
The conflict of interest management policy is available here. The conflict of interest management policy can also be obtained from the Company.
Kaon Investment Management holds Professional Indemnity cover.
Compliance with the FAIS Act is monitored by Independent Compliance Services (Pty) Ltd:
Office 9, Heritage Square, Cnr Gladstone & Vrede Streets, Durbanville, 7551
In terms of FICA, Kaon Investment Management is an accountable institution. We are required to identify our prospective clients, verify the given information and keep records of the verifying documents. We are also obliged to report suspicious and unusual transactions that may facilitate money laundering to the authorities.
Should you wish to pursue a complaint against a key individual or representative of Kaon Investment Management, you should address the complaint in writing. If you cannot settle your complaint with us, you are entitled to refer it to the office of the FAIS Ombud.
P.O. Box 74571, Lynnwood Ridge, 0040
Kaon Investment Management (Pty) Ltd is an authorised Financial Services Provider, licensed in terms of the of the Financial Advisory and Intermediary Services Act, 2002 (FSP 48460).
You should note that there are risks involved in buying or selling any financial product, and past performance of a financial product is not necessarily indicative of the future performance. The value of financial products can increase as well as decrease over time, depending on the value of the underlying securities and market conditions.
1st Floor, Yellowwood House
Ballywoods Office Park
33 Ballyclare Drive
P.O. Box 130102
+27 10 005 0833/4/5
|CATEGORY I||CATEGORY II – Discretionary FSP|
|Long-Term Insurance: Category B2||Long-Term Insurance: Category B2|
|Long-Term Insurance: Category C||Long-Term Insurance: Category C|
|Securities and Instruments: Shares||Securities and Instruments: Shares|
|Securities and Instruments: Money market instruments||Securities and Instruments: Money market instruments|
|Securities and Instruments: Debentures and securitised debt||Securities and Instruments: Debentures and securitised debt|
|Securities and Instruments: Warrants, certificates and other instruments||Securities and Instruments: Warrants, certificates and other instruments|
|Securities and Instruments: Bonds||Securities and Instruments: Bonds|
|Securities and Instruments: Derivative instruments||Securities and Instruments: Derivative instruments|
|Participatory interests in Collective Investment Schemes||Participatory interests in Collective Investment Schemes|
|Long-term Deposits||Long-term Deposits|
|Short-term Deposits||Short-term Deposits|
Luke Alers (Key Individual)
Lauren Madsen (Representative under supervision)
Gregory Ronaldson (Representative under supervision)
Conn O’Donoghue (Representative under supervision)