HUNKYDORY INVESTMENTS 1023 CC T/A PENGELLY AUTOS COMPLIANCE POLICIES
PENGELLY AUTOS is committed to regulatory compliance and client protection. The following summaries present our core policies. Full policy documents are available upon request.
1. Conflict of Interest Management Policy
PENGELLY AUTOS has adopted and implemented a Conflict-of-Interest Management Policy that complies with the provisions of the Financial Advisory and Intermediary Services (FAIS) Act.
This policy ensures that any potential or actual conflicts are identified, avoided where possible, and managed transparently to protect client interests.
2. Treating Customers Fairly (TCF) Policy
Our TCF Policy follows the Financial Sector Conduct Authority (FSCA) guidelines to consistently deliver fair outcomes for clients. Our aim to ensure that all 6 TCF outcomes are met and adhered to by PENGELLY AUTOS in terms of the following:
- We take responsibility for the conduct of our business and representatives.
- We promote a culture of openness, transparency, and accountability.
- We aim to provide clear, suitable, and timely information and services for our clientele.
3. Complaints Policy and Procedure
The FAIS General Code of Conduct requires that a financial services provider such as PENGELLY AUTOS must establish, maintain, and operate an adequate and effective complaints management framework to ensure the effective resolution of complaints and the fair treatment of complainants.
Treating Customers Fairly (TCF) Outcome 6 provides that “Customers do not face unreasonable post-sale barriers imposed by firms to change a product, switch providers, submit a claim or lodge a complaint”.
This document provides a complaints procedure in conformance with legislative expectations and sets out the process that PENGELLY AUTOS will follow in order to resolve the complaint.
The objectives and key principles of the PENGELLY AUTOS Complaints Management Framework is:
The Complaints Management Framework sets out the approach that PENGELLY AUTOS is taking to manage complaints in order to mitigate business and client risks and to achieve compliance with the FAIS Act and
subordinate legislation. PENGELLY AUTOS is committed to ensure that appropriate measures are in place to enable us to investigate and resolve any complaints received with due regard to the fair treatment of customers.
The Complaints Management Framework aims to assist our staff to apply a consistent, high-quality, fair, and accountable response to complaints.
All complaints will be treated in line with the overall regulatory requirements and Treating Customer Fairly outcomes.
If you wish to pursue a complaint against a key individual or representative of PENGELLY AUTOS, please submit your complaint in writing to:
If we are unable to resolve your complaint, you may refer to the Office of the FAIS Ombud:
Telephone: 0860 663 274
The FAIS Ombud provides an impartial redress mechanism for complaints related to inappropriate financial advice.
All of the above policies are available upon request via the email address info@pengellyautos.co.za