Globally, corporate governance, risk management and compliance has emerged as a discipline that needs to be thoroughly understood and effectively implemented by an organisation in order to optimally enable the achievement of its strategic direction. Uprise Market places great emphasis in applying these principles and institute high ethical values for the benefit of clients, our stakeholders and the communities in which we operate.
The principles, standards and guidelines recommended by the Compliance Institute SA are applied wherever appropriate to ensure adherence to both regulatory and supervisory requirements. Uprise Markets takes cognizance of compliance best practice guidelines and standards as outlined by the King III as well as compliance requirements as per applicable legislation to effect the appropriate processes to ensure that compliance risks are identified and effectively managed on a continual basis.
The object of the policy is to enable Uprise Markets to comply with law in respect of the data it holds about individuals; follow good practice; protect our staff and the organisation from the consequences of a breach of its responsibilities.
Uprise Markets (Pty) Ltd has adopted a complaints policy outlining our commitment towards the fair resolution of complaints ensuring that complainants have full knowledge of the procedures that will be followed when submitting a complaint and that the client is provided with an easily accessible facility to submit and resolve complaints.