Subject Title - INSETA

1. A brief summary of the information and material on which the advicewas based.2. The financial product that was considered.3. A description of the particular forex investment that wasrecommended and an explanation of why a forex investment is likelyto satisfy the client's identified needs and objectives.4. A forex investment adviser must maintain records recording theinvestments owned by each client individually.5. The agreement between the forex investment adviser and any forexinvestment intermediary must provide for providing a written report.8.7 COMPLAINTS HANDLINGThe General Code prescribes the requirements for complaints handling.GENERAL OBLIGATIONS OF FSP 83 request clients who want to complain to do so inwriting and attach relevant documentation; maintain records of complaints for five (5) years; handle complaints from clients in a timely and fairmanner;A FSP MUST take steps to investigate and respond promptly tocomplaints; and where such a complaint is not resolved to theclient‟s satisfaction, advise the client of any furthersteps which may be available to the client in termsof the Act or any other law.SPECIFIC OBLIGATIONS OF FSP The internal complaint resolution system and procedures of an FSPmust include the following: 84 Written version of the complaints resolution system andprocedures plus all updates to it. Access to the procedures by clients at branches, through electronicmedia and announcements that it is available through publicmedia or communication to existing clients.83 Section 16(2) of the General Code84 Section 19(1) and 19(2) of the General Code154 © INSETA - Section 1 12a