FSCA Disclosures

DISCLOSURES REQUIRED IN TERMS OF THE FINANCIAL ADVISORY AND INTERMEDIARY SERVICES ACT 37 OF 2002 (“FAIS ACT”)

Status as representative in terms of the FAIS Act

Nodus Capital (Pty) Ltd. is, an authorised financial service provider
FSP license number 47763.

Juristic representatives:

Nodus Group Holdings (Pty) Ltd.
Nodus Group Investments (Pty) Ltd.
Nodus Investments 1 (Pty) Ltd.
Nodus Investment 2 (Pty) Ltd.

Individual representatives:

David André 1
Gary Bryce-Borthwick 1
Johan le Roux 1
Sebastian Pieterse 2
Etienne André 3
Mishka Naidoo 3
Craig Shaw 3
Glen Christopulo 3

1 Key Individual 
2 Representative 
3 Representative under supervision 

Contact particulars:

Telephone number: +27 (0) 11 327 6907
Facsimile number: +27 (0) 86 504 2440
Email address: nodus@nodus.co.za

Independent status and professional indemnity insurance

Nodus Group Holdings (Pty) Ltd. holds professional indemnity insurance.

Authorisation

Nodus Capital (Pty) Ltd. and all its juristic and individual representatives are authorised to give advice and render intermediary services in the following sub categories:-
Securities and Instruments:
Shares
Money market instruments
Debentures and securitised debt
Derivative instruments
Participatory interests in collective investment schemes

Compliance officers details

Assent Legal (Pty) Ltd.
Nicky Eilers
Telephone number: +27 (0) 21 557 8178
Fax number: +27 (0) 86 524 5336
Email: nicky@assent.co.za
Address: 4 Northumberland House,
Parklands Main Road,
Parklands, Cape Town

Complaints procedures

Any complaints should be address to Lauren Hodge, the complaints officer, who will assist you to address the concerns you have. Please note that in terms of the FAIS act, all complaints must be addressed to us in writing. Should we not be able to address the concerns to your satisfaction, you may wish to lodge a complaint with any of the Ombudsmen whose detail appear below, but in particular with the FAIS Ombud.

If you have a complaint, please contact Lauren Hodge on +27 (0) 11 327 6907 or by email: Lhodge@nodus.co.za.

FAIS Ombud details for all FAIS advice related complaints The Customer Contact Division

The Customer Contact Division

Physical address                  The FAIS Ombud

Celtis House

Eastwood Office Park

Lynnwood

Pretoria

Postal address:                     PO Box 74571

Lynnwood Ridge

0040

Telephone number:             +27 (0) 86 032 4766

E-mail:                                    info@faisombud.co.za

Confidentiality and Protection of Personal Information (“POPI”)

All client information is treated as confidential and records are kept securely in a central registry with all users access strictly controlled. In accordance with the POPI Act personal information is gathered strictly for the purpose of the Business concluded. Information is only held for as long as legislatively required.

Physical address The FAIS Ombud Celtis House Eastwood Office Park Lynnwood Pretoria Postal address: PO Box 74571 Lynnwood Ridge 0040 Telephone number: +27 (0) 86 032 4766 E-mail: info@faisombud.co.za Confidentiality and Protection of Personal Information (“POPI”) All client information is treated as confidential and records are kept securely in a central registry with all users access strictly controlled. In accordance with the POPI Act personal information is gathered strictly for the purpose of the Business concluded. Information is only held for as long as legislatively required.