Regulatory Disclosures

Kaon Investment Management has adopted and implemented a conflict of interest policy that complies with the provisions of the FAIS Act.

The conflict of interest policy is available here. The conflict of interest policy can also be obtained from the Company.

Kaon Investment Management holds Professional Indemnity cover.

Compliance with the FAIS Act is monitored by Outsourced Compliance Services (Pty) Ltd:
Office 203, 139 Greenway, Greenside, Johannesburg, 2193.
Telephone: +27 (0)11 568 0925
e-mail: info@outsourcedcompliance.co.za

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
Telephone: 0860324766
e-mail: info@faisombud.co.za
website: www.faisombud.co.za

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.

Physical Address
1st Floor, Yellowwood House
Ballywoods Office Park
33 Ballyclare Drive
Bryanston
2191
Gauteng

Postal Address
P.O. Box 130102
Bryanston
2074
Gauteng

Telephone
+27 10 005 0833/4/5
Email
compliance@kaoncapital.com

Category I Advice Intermediary   Category II – Discretionary FSP Intermediary
Long-Term Insurance : Category B2 ✓ ✓ Long-Term Insurance : Category B2 ✓
Long-Term Insurance : Category B2-A ✓ ✓ Long-Term Insurance : Category B2-A ✓
Long-Term Insurance : Category C ✓ ✓ Long-Term Insurance : Category C ✓
Shares ✓ ✓ Shares ✓
Money market instruments ✓ ✓ Money market instruments ✓
Debentures and securitised debt ✓ ✓ Debentures and securitised debt ✓
Warrants, certificates and other instruments ✓ ✓ Warrants, certificates and other instruments ✓
Bonds ✓ ✓ Bonds ✓
Derivative instruments ✓ ✓ Derivative instruments ✓
Participatory interests in one or more Collective Investment Schemes ✓ ✓ Participatory interests in one or more Collective Investment Schemes ✓
Long-term deposits ✓ ✓ Long-term Deposits ✓
Short-term deposits ✓ ✓ Short-term Deposits ✓
Structured Deposits ✓ ✓ Structured Deposits ✓
Securities and instruments ✓ ✓ Securities and instruments ✓
Participatory interest in a hedge fund ✓ ✓ Participatory interest in a hedge fund ✓

Luke Alers (Key Individual)

Gregory Ronaldson (Representative under supervision)

Conn O’Donoghue (Representative under supervision)