A. Introduction
In terms of the General Code of Conduct of the FAIS Act, 36ONE Asset Management (Pty) Ltd (Registration number 2004/035570/07) is required to disclose the information in this document to you.
You are therefore requested to read through the document carefully and sign the acknowledgement that you have read and understand the contents hereof. If there is anything in this document that you do not understand, please request further information from us.
You are entitled to a copy of this document for your own records.
B. AUTHORISED FINANCIAL SERVICES PROVIDER
36ONE Asset Management (Pty) Ltd is an authorised financial services provider (FSP number 19107) in terms of Section 8 of the FAIS Act.
A copy of our license certificate is available on request.
| FSP Name | 36ONE Asset Management (Pty) Ltd |
| Registration Number | 2004/035570/07 |
| Postal Address | Private Bag 10361, Sandton, 2146 |
| Physical Address | 6A Sandown Valley Crescent, Sandown, Sandton, 2196 |
| Legal Status of the FSP | Private Company |
| Contact Person | Grant Mann |
| gmann@36one.co.za | |
| Office Telephone Number | +27 10 501 0250 |
C. Compliance Officer
| Name | Independent Compliance Services (Pty) Ltd (Registration number 2003/020695/07 and Practice number 1258) |
| Physical address | Office 9, Heritage Square, Corner Gladstone and Vrede Road, Durbanville, Cape Town, Western Cape, 7551 |
| Postal address | Same as the above physical address |
| Contact person | Mr HA Goosen |
| Telephone number | +27 21 975 6468 |
| Telephone number | +27 21 975 6468 |
| Fax number | +27 86 628 4567 |
| Email address | enrique@complianceservices.co.za |
D. FINANCIAL SERVICES AND PRODUCTS
| Category Description | Advice | Intermediary |
|---|---|---|
| CATEGORY I | ||
| Structured Deposits | X | X |
| Participatory interest in a hedge fund | X | X |
| Securities and Instruments: Shares | X | X |
| Securities and Instruments: Money market instruments | X | X |
| Securities and Instruments: Debentures and securitised debt | X | X |
| Securities and Instruments: Warrants, certificates and other instruments | X | X |
| Securities and Instruments: Bonds | X | X |
| Securities and Instruments: Derivative instruments | X | X |
| Participatory interests in a collective investment scheme | X | X |
| Long-term Deposits | X | X |
| Short-term Deposits | X | X |
| CATEGORY II | ||
| Securities and Instruments: Shares | X | |
| Securities and Instruments: Money market instruments | X | |
| Securities and Instruments: Debentures and securitised debt | X | |
| Securities and Instruments: Warrants, certificates and other instruments | X | |
| Securities and Instruments: Bonds | X | |
| Securities and Instruments: Derivative instruments | X | |
| Participatory interests in one or more collective investment schemes | X | |
| Participatory interest in a hedge fund | X | |
| CATEGORY IIA | ||
| Securities and Instruments: Shares | X | |
| Securities and Instruments: Money market instruments | X | |
| Securities and Instruments: Debentures and securitised debt | X | |
| Securities and Instruments: Warrants, certificates and other instruments | X | |
| Securities and Instruments: Bonds | X | |
| Securities and Instruments: Derivative instruments | X | |
| Participatory interests in one or more collective investment schemes | X | |
| Participatory interest in a hedge fund | X | |
E. INDEMNITY COVER
36ONE Asset Management (Pty) Ltd holds Bankers Blanket Bond, Computer Crime and Professional Indemnity cover.
F. CONFLICT OF INTEREST MANAGEMENT POLICY
36ONE Asset Management (Pty) Ltd has adopted and implemented a conflict of interest management policy that complies with the provisions of the FAIS Act.
The conflict of interest management policy is published on the website of 36ONE Asset Management (Pty) Ltd at www.36one.co.za. The conflict of interest management policy can also be obtained from 36ONE Asset Management (Pty) Ltd on request to Support@36one.co.za.
G. Complaints
Should you wish to pursue a complaint against a key individual or representative of 36ONE Asset Management (Pty) Ltd, 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, at info@faisombud.co.za or telephone number 0860 324 766. The Ombud has been created to provide you with a redress mechanism for any inappropriate financial advice that you feel may have been given to you by a financial services provider.
H. FINANCIAL INTELLIGENCE CENTRE ACT (FICA)
In terms of FICA, 36ONE Asset Management (Pty) Ltd 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.
I. DISCLAIMER
36ONE Asset Management (Pty) Ltd (“36ONE”) is an authorised financial services provider under the Financial Advisory and Intermediary Services Act (Act No. 37 of 2002) "FAIS" (FSP number: 19107).
Past performance is not necessarily indicative of future performance.
Buying and selling of financial products entails risk, please ensure that you are always appropriately advised and aware of all risks involved.
No guarantee as to investment value or performance of any financial product is given or should be inferred.
The value of financial products can increase as well as decrease over time, depending on the value of the underlying securities and market conditions.
Illustrations, forecasts or hypothetical data are not guaranteed and are provided for illustrative purposes only.
This document does not constitute a solicitation, invitation or investment recommendation. We do not imply that any specific financial product is suitable.
Prior to selecting a financial product or portfolio in which to invest, it is recommended that investors seek independent, specialised financial, legal and tax advice in this regard.
The laws of the Republic of South Africa shall govern any claim relating to or arising from the contents of this document.
J. AUTHORISED REPRESENTATIVES AND KEY INDIVIDUALS
The Financial Services Board has duly authorised the following representatives and key individuals to render financial services as defined in terms of the Financial Advisory and Intermediary Services (FAIS) Act in respect of the following financial products:
| Cat | Sub Cat |
Category Description | CJ | SL | EW | RS | DI | KD |
|---|---|---|---|---|---|---|---|---|
| 1 | 8 | Shares | A, I, AKI | A, I, AKI | A, I | |||
| 1 | 9 | Money market instruments | A, I, AKI | A, I, AKI | A, I | |||
| 1 | 10 | Debentures and securitised debt | A, I, AKI | A, I, AKI | A, I | |||
| 1 | 11 | Warrants, certificates and other instruments | A, I, AKI | A, I, AKI | A, I | |||
| 1 | 12 | Bonds | A, I, AKI | A, I, AKI | A, I | |||
| 1 | 13 | Derivative instruments | A, I, AKI | A, I, AKI | A, I | |||
| 1 | 14 | Participatory interests in a collective investment scheme |
A, I, AKI | A, I, AKI | A, I | |||
| 1 | 17 | Long-term Deposits | A, I, AKI | A, I, AKI | A, I | A, I | A, I | |
| 1 | 18 | Short-term Deposits | A, I, AKI | A, I, AKI | A, I | A, I | A, I | |
| 1 | 24 | Structured Deposits | A, I, AKI | A, I, AKI | A, I | A, I | A, I | |
| 1 | 26 | Participatory interest in a hedge fund | A, I, AKI | A, I, AKI | A, I |
| Cat | Sub Cat |
Category Description | SH | SS | SM | TD | WD | LK | BL |
|---|---|---|---|---|---|---|---|---|---|
| 1 | 8 | Shares | A, I | A, I | I | I | I | A, I | |
| 1 | 9 | Money market instruments | A, I | A, I | I | I | I | A, I | |
| 1 | 10 | Debentures and securitised debt | A, I | A, I | I | I | I | A, I | |
| 1 | 11 | Warrants, certificates and other instruments | A, I | A, I | I | A, I | |||
| 1 | 12 | Bonds | A, I | A, I | I | A, I | |||
| 1 | 13 | Derivative instruments | A, I | A, I | I | A, I | |||
| 1 | 14 | Participatory interests in a collective investment Scheme |
A, I | A, I | I | A, I | I | A, I | |
| 1 | 17 | Long-term Deposits | A, I | A, I | I | A, I | A, I | A, I | |
| 1 | 18 | Short-term Deposits | A, I | A, I | I | A, I | A, I | A, I | |
| 1 | 24 | Structured Deposits | A, I | A, I | A, I | A, I | A, I | ||
| 1 | 26 | Participatory interest in a hedge fund | A, I | A, I | A, I | I | A, I | A, I |
| Cat | Sub Cat |
Category Description | CJ | SL | EW | RS | DI | KD |
|---|---|---|---|---|---|---|---|---|
| 2 | 5 | Shares | D, AKI | D, AKI | D | D | D | D |
| 2 | 6 | Money market instruments | D, AKI | D, AKI | D | D | D | D |
| 2 | 7 | Debentures and Securitised Debt | D, AKI | D, AKI | D | D | D | |
| 2 | 8 | Warrants, certificates and other instruments | D, AKI | D, AKI | D | D | D | |
| 2 | 9 | Bonds | D, AKI | D, AKI | D | D | D | |
| 2 | 10 | Derivative instruments | D, AKI | D, AKI | D | D | D | |
| 2 | 11 | Participatory interests in one or more collective investment scheme |
D, AKI | D, AKI | D | D | D | D |
| 2 | 20 | Participatory interest in a hedge fund | D, AKI | D, AKI | D | D | D | D |
| Cat | Sub Cat |
Category Description | SH | SS | SM | TD | WD | LK | BL |
|---|---|---|---|---|---|---|---|---|---|
| 2 | 5 | Shares | D | D | D, US | D | D | D | D, US |
| 2 | 6 | Money market instruments | D | D | D, US | D | D | D | D, US |
| 2 | 7 | Debentures and Securitised Debt | D | D | D, US | D | D, US | ||
| 2 | 8 | Warrants, certificates and other instruments | D | D | D, US | D | D, US | ||
| 2 | 9 | Bonds | D | D | D, US | D | D, US | ||
| 2 | 10 | Derivative instruments | D | D | D, US | D | D, US | ||
| 2 | 11 | Participatory interests in one or more collective investment scheme |
D | D | D, US | D | D | D | D |
| 2 | 20 | Participatory interest in a hedge fund | D | D | D | D | D | D |
| Cat | Sub Cat |
Category Description | CJ | SL | EW | RS | DI | KD |
|---|---|---|---|---|---|---|---|---|
| 2A | 5 | Shares | D, AKI | D, AKI | D | D | D | D |
| 2A | 6 | Money market instruments | D, AKI | D, AKI | D | D | D | D |
| 2A | 7 | Debentures and Securitised Debt | D, AKI | D, AKI | D | D | D | |
| 2A | 8 | Warrants, certificates and other instruments | D, AKI | D, AKI | D | D | D | |
| 2A | 9 | Bonds | D, AKI | D, AKI | D | D | D | |
| 2A | 10 | Derivative instruments | D, AKI | D, AKI | D | D | D | |
| 2A | 11 | Participatory interests in one or more collective investment scheme |
D, AKI | D, AKI | D | D | D | D |
| 2A | 20 | Participatory interest in a hedge fund | D, AKI | D, AKI | D | D | D | |
| 2A | 99 | General Category IIA experience | D, AKI | D, AKI | D | D |
| Cat | Sub Cat |
Category Description | SH | SS | SM | TD | WD | LK | BL |
|---|---|---|---|---|---|---|---|---|---|
| 2A | 5 | Shares | D | D | D, US | D | D | D | D, US |
| 2A | 6 | Money market instruments | D | D | D, US | D | D | D | D, US |
| 2A | 7 | Debentures and Securitised Debt | D | D | D, US | D | D, US | ||
| 2A | 8 | Warrants, certificates and other instruments | D | D | D, US | D | D, US | ||
| 2A | 9 | Bonds | D | D | D, US | D | D, US | ||
| 2A | 10 | Derivative instruments | D | D | D, US | D | D, US | ||
| 2A | 11 | Participatory interests in one or more collective investment scheme |
D | D | D, US | D | D | D | D |
| 2A | 20 | Participatory interest in a hedge fund | D | D | D | D | D | ||
| 2A | 99 | General Category IIA experience | D | D | D | D | D | D |
Key:
CJ = Cy Jacobs
SL = Steven Craig Liptz
EW = Evan Walker
RS = Ryan Seaborne
DI = Daniel Isaacs
KD = Kevin de Villiers
SH = Steven Hurwitz
SS = Samuel Simpson
SM = Anastasha Martins
TD = Tanya de Abreu
WD = Wendy-Lee Donaldson
LK = Louis Kruger
BL = Boitumelo Loate
A = Advice
I = Intermediary
D = Discretionary
US = Services Under Supervision
AKI = Authorised Key Individual
K. CLIENT ACKNOWLEDGMENT
I/We the undersigned hereby acknowledge receipt of this Disclosure Document and have read and understand the contents.
| Signed | |
| Print Name | |
| Date |
| Signed | |
| Print Name | |
| Date |