Compliance

Regulatory Compliance

Odyssey is registered with the Financial Services Board (FSB) and has a Category II licence. Odyssey Capital Managers (Pty) Ltd is authorised to render advice in respect of financial securities and instruments: shares; debentures and securitized debt; warrants, certificates and other instruments; bonds and derivative instruments. We are also authorized to render advice in respect of long term Insurance (category B and C); retail pension benefits and participatory interests in collective investment schemes.

Our compliance function is kept Independent and is handled by: www.compliserve.co.za.

Compliance with the “Financial Advisory and Intermediary Services”(FAIS) is strictly monitored. Odyssey Capital’s membership of key organizations – including the Investment Analysts Society of South Africa; the Financial Planning Institute of South Africa and the CFA Institute in America – bears testimony to our commitment to the industry.quote2

We are not a deposit-taking institution. Your account will be opened in your name with a nominated stock broker. Domestic shares are held through an independent share depository, while cash is held and backed by the Stock Exchange on the JSE Trustees. International shares and cash are held through an offshore nominee.

 

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