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    ABFA - The Association of Botswana Financial Advisers regulates its members by enforcing their adherence to the ABFA Code of Ethics and Conduct.


    Should you believe that any ABFA member has breached the Code of Ethics and Conduct you should contact us by filing a Complaint and returning it to us at the address supplied on the Complaint Form.


    We encourage the public to report un-licensed Financial Advisers operating in Botswana, but we cannot enforce complaints against non-members.


    Following a complaint, the ABFA Council appoints a Disciplinary Committee.
    The Disciplinary Committee is empowered to adjudicate on all matters concerning the conduct of members, including the interpretation and enforcement of the Code of Conduct and Practice, and after affording the offending member an opportunity to explain his conduct, shall have the power to:
    (i) Reprimand the member.
    (ii) Impose a fine upon the member as determined by Council.
    (iii) Suspend the member from membership for a period as determined by Council.
    (iv) Expel a member provided that the Council are in agreement with the action and their decision shall be final.