Primebridge Brokers is a division of Zivest (Pty) Ltd which is a registered financial services provider (FSP 49689) in terms of the Financial Advisory & Intermediary Services Act and regulated by the Financial Sector Conduct Authority ("FSCA"). Prepared in accordance with Section 51 of the Promotion of Access to Information Act 2 of 2000 ("PAIA"). Table of Contents List of Acronyms and Abbreviations Purpose of the PAIA Manual Company Details and Key Contacts Availability of the Manual Records Available Without Formal Request Records Available in Terms of Other Legislation Subjects and Categories of Records Held by the Company Processing of Personal Information Guide on How to Use PAIA and How to Obtain Access to the Guide Access to Records Form of a Request for Information Grounds for Refusal Payment of Fees (S 22 of PAIA) Decision of Primebridge Brokers & Right to Challenge Decision
1. List of Acronyms and Abbreviations
Term Description
IO
Information Officer
DIO
Deputy Information Officer
PAIA
Promotion of Access to Information Act, 2 of 2000
POPIA
Protection of Personal Information Act, 4 of 2013
FAIS
Financial Advisory and Intermediary Services Act, 37 of 2002
FSCA
Financial Sector Conduct Authority Regulator The Information Regulator established under POPIA Data Subject The person to whom the Personal Information relates
2. Purpose of the PAIA Manual
Identify the types of records held by the body that can be accessed without submitting a formal PAIA request; Gain a clear understanding of the process to request access to the body's records by outlining the subjects and the related categories of records maintained; Be informed about the records that the body makes available under other applicable legislation; Obtain all necessary contact details for the Information Officer and Deputy Information Officer who can assist with accessing requested records; Understand the purpose and content of the PAIA Guide, as published by the Regulator, and how to access it; Determine whether the body processes personal information, the reasons for such processing, and the categories of data subjects and related information involved; Understand the various categories of data subjects and the corresponding types of personal information handled; Know who the recipients are, or the categories of recipients, that the personal information may be shared with; Be aware of any plans to transfer or process personal information outside South Africa, including the intended recipients or types of recipients in such cases; and Confirm whether the organisation has appropriate security measures in place to protect the confidentiality, integrity, and availability of personal information it processes.
3. Company Details and Key Contacts
Primebridge Brokers is a division of Zivest (Pty) Ltd Company Name: Zivest (Pty) Ltd Registration No.: 2017/101396/07 FSCA FSP No.: 49689 ( www.fsca.co.za ) Postal Address: The Leonardo, Office 1215, 75 Maude Street, Sandown, Sandton, 2196 Physical Address: The Leonardo, Office 1215, 75 Maude Street, Sandown, Sandton, 2196 Telephone: 021 456 7890 Website: https://primebridgebroker.com/ Email: paia@primebridgebroker.com Information Officer: Ngoma Jabulisile Thando Nikita
4. Availability of the Manual
This manual is available: On request (physical or email) At www.primebridge.co.za From the Information Regulator
5. Records Available Without Formal Request
Category Type Access Method Contact Info Addresses, telephone, email Website / Office Company Docs Privacy Policy, T&Cs, Disclaimers Website / Office Marketing Brochures, Press Releases Website Product Info Fee schedules, investment products Website FAIS Info License certificate, Conflict of Interest policy Website
6. Records Available in Terms of Other Legislation
All records that can be accessed without the submission of a formal request (i.e. a formal request as defined by PAIA) can be accessed by contacting our designated Information Officer. Additionally, we are required to ensure that certain records are available in terms of other legislation, which are mentioned below: Basic Conditions of Employment Act 75 of 1997 Companies Act 71 of 2008 Compensation for Occupational Injuries and Diseases Act 130 of 1993 Consumer Affairs (Unfair Business Practices) Act 71 of 1988 Consumer Protection Act 98 of 1978 Employment Equity Act 55 of 1998 Financial Advisory and Intermediary Services Act 37 of 2002 ("FAIS") Financial Intelligence Centre Act 38 of 2001 ("FICA") Harmful Business Practices Act 23 of 1999 Income Tax Act 95 of 1967 Labour Relations Act 66 of 1995 Occupational Health & Safety Act 85 of 1993 Prevention of Organised Crime Act 121 of 1998 Protection of Businesses Act 99 of 1978 Security Services Act 36 of 2004 Skills Development Levies Act 9 of 1999 Skills Development Act 97 of 1998 Unemployment Contributions Act 4 of 2002 Unemployment Insurance Act 63 of 2001
Value Added Tax 89 of 1991
Please note that while we have made every effort to identify all pertinent legislation, we cannot guarantee that all legislation has been included. Should you be aware of any specific legislation that should be included and which has been omitted, please contact our designated Information Officer.
7. Subjects and Categories of Records Held by the Company
We set out below the subjects / categories and some examples of the records that are held by the company, and which may be the subject of a request for the purpose of the Act. Please note that our records can be found in various forms including electronic or paper. Companies Act Records Documents of incorporation Memorandum of incorporation
Minutes of Board of directors' meetings
Records relating to the appointment of directors / auditors / secretary / public officer and other officers Share register and other statutory registers Annual financial statements Tax returns Accounting records Banking records, bank statements, electronic banking records Asset register Rental agreements Invoices Insurance information Property / investments held or owned Financial reports, balance sheets, income statements Revenue Records PAYE records Documents issued to employees for income tax purposes Records of payments made to SARS on behalf of employees All other statutory compliances:
VAT
Skills development levies
UIF
Workmen's compensation Personnel documents and Records Employment contracts Disciplinary records Salary records Disciplinary code Leave records Records of training provided to employees Business & Operational Records E-mails Business process and activity documentation Agreements with clients Contracts with service providers Investment-related documentation Policy-related documentation Technology Records Licenses Software packages Operating systems Service provider contracts Marketing and Customer Relations Records Introductory material Description of products & services Correspondence Fact sheets and quarterly letters Compliance Records Compliance reports Statutory information Information required by FAIS and FICA
8. Processing of Personal Information
Purpose Regulatory compliance (FAIS, FIC Act, etc.) Risk profiling, suitability assessments Administering client relationships Marketing and communication Categories of Data Subjects Clients Employees Suppliers Intermediaries Representatives Information Collected Identity numbers Contact information Employment & financial info Tax numbers Proof of address and income Qualifications (for reps) Recipients of Personal Information FSCA and other regulators Credit bureaus Verification agencies Banks, insurers, reinsurers, compliance service providers
Transborder Flows
Where necessary and subject to Section 72 of POPIA, data may be transferred securely to jurisdictions with adequate data protection. Security Measures Encryption and secure access controls Firewalls and intrusion detection Employee training on data protection Regular vulnerability assessments
9. Guide on How to Use PAIA and How to Obtain Access to the Guide
In accordance with section 10(1) of PAIA, as amended, the Regulator has updated and made available the latest version of the Guide on how to use PAIA ("Guide"). This Guide is designed to be easily understandable and accessible to anyone seeking to exercise their rights under PAIA and POPIA. The Guide includes the following details: A description of the objectives of both PAIA and POPIA; The physical and postal addresses, telephone and fax numbers, and, where applicable, email addresses of: the Information Officer of each public institution, and every Deputy Information Officer appointed in both public and private bodies, as per section 17 of PAIA and section 56 of the POPIA; The procedure and format required to request: access to records from a public body as specified in section 11; and access to records from a private body as set out in section 50; The kind of assistance the Information Officer of a public institution can offer under PAIA and POPIA; The assistance that can be obtained from the Information Regulator under PAIA and POPIA; All legal remedies available in the case of action or inaction regarding a right or obligation under PAIA and POPIA, including how to lodge: an internal appeal; a complaint with the Information Regulator; and a court application against a decision made by the Information Officer of a public body, the result of an internal appeal, or a decision by either the Regulator or the head of a private entity; Details from sections 14 and 51 that compel public and private bodies, respectively, to develop and make available a PAIA manual; Provisions in sections 15 and 52 which relate to voluntary record disclosure by public and private bodies; Notifications published under sections 22 and 54 that deal with the costs related to access requests.
The regulations made in terms of section 92
Members of the public can inspect or make copies of the Guide from the offices of the public and private bodies, including the office of the Regulator, during normal working hours.
10. Access to Records
PAIA grants a requester access to certain Records of a private body if the said Records are required to exercise or protect any rights of the requester. Should a public body lodge such a request, it must be acting in the public interest. Any request for information in terms of PAIA, must be made in accordance with the prescribed form and manner, at the rates provided. The prescribed form and manner and the tariff are dealt with in sections "Categories of records which are available without a person having to request access" and "Records available in terms of other legislation". Contact details of the Information Regulator Postal Address: PO Box 31533, Braamfontein, Johannesburg, 2017 E-mail address: inforeg@justice.gov.za
Website: https://inforegulator.org.za/
The Information Regulator has, in terms of section 10(1) of PAIA, as amended, made available a Guide on how to use PAIA (the Guide), in an easily comprehensible form and manner, as may reasonably be required by a person who wishes to exercise any right contemplated in PAIA and POPIA. The Guide can be obtained from the Information Regulator's website at https://inforegulator.org.za/paia-guidelines/
11. Form of a Request for Information
A requester must use the prescribed Form 2 to request access to the information. Form 2 can be accessed at the following URL: https://inforegulator.org.za/paia-forms/ The request must be addressed to the Information Officer as indicated in clause 3. The requester must provide sufficient detail on Form 2 to enable the Information Officer of the company to establish who is requesting the said information as well as what information is being requested and in what format. The requester must provide sufficient detail in respect of his/her contact details and if the requester wishes to be informed of the decision of the company in any manner (in addition to written) the manner and particulars thereof. Lastly, the right which the requester is seeking to exercise or protect with an explanation of the reason the Record is required to exercise or protect the right. After the company has decided on the request, the requester must be notified in the required form. If the request is granted, then a further access fee must be paid for the search, reproduction, preparation and for any time that has exceeded the prescribed hour to search and prepare the Record for disclosure. If the request is refused in terms of either the mandatory or discretionary grounds of refusal, the FSP must notify the requester thereof.
12. Grounds for Refusal
In terms of the PAIA justifiable grounds exist for an entity to refuse or limit access to information. Grounds for refusal include, but are not only limited to these, are: Personal information relating to individuals. Certain types of commercial information. Information that is deemed confidential. Information that is deemed privileged. Information relating to trade secrets. Information relating to copyright. Information relating to protected information technology. Where the requests are unreasonable, vexatious, or frivolous. Where the request is not in the prescribed manner form or accompanied with the prescribed fee Requests for access to records of Primebridge Brokers may be made to the relevant Directors listed above.
13. Payment of Fees (S 22 of PAIA)
A request fee is payable for PAIA requests and proof of such payment must be sent to the Information Officer together with the request. Once PRIMEBRIDGE BROKERS has decided to grant the requested access to information, access fees may be imposed by PRIMEBRIDGE BROKERS to the requester. The request fee is aligned to the Regulations published in terms of the PAIA Act. Bank deposit is the only accepted payment method for PAIA requests using Primebridge Brokers' banking details, which will be made available on request. A request is only received once a completed form and the prescribed request fee have been received by the Information Officer. Upon receipt of the PAIA request, Primebridge Brokers shall endeavour to consider and provide a response to each request within the prescribed thirty (30) days. When necessary, Primebridge Brokers may extend the period of thirty (30) days for a further period of thirty (30) days to finalize the request. The fees as prescribed by the Act include: Fee type Amount Request fee
R 50.00
Every A4 photocopy or part thereof (per folio)
R 1.10
Every A4 print copy (per folio)
R 0.75
Electronic copies
R 70.00
Transcription of visual images per A4 page R 40.00 per copy / R 60.00 Transcription of audio records per A4 page R 20.00 per copy of audio / R 30.00 Fee for time spent accessing record (per 30 min)
R 30.00
Actual postal fees Payable by the requester Appeal fee for internal appeal
R 50.00
Please note that these fees may be different by the time that records are requested as prescribed in terms of the Government Gazette The fees prescribed above are excluding VAT which will be added to the fee when a request is received
14. Decision of Primebridge Brokers & Right to Challenge Decision
As prescribed in section 25 of the Act, the Information Officer shall decide whether to grant the requested access to information and inform the requester accordingly. The requester shall be notified of the decision in the most expedient manner possible. If the request for access to information is refused by the Information Officer, the requester shall be provided with written reasons for such refusal. Primebridge does not have internal appeals for PAIA. The Information Officer's decision is final, unless reviewed by the Regulator or a court. Where a request for access has been refused or not replied to, an internal appeal can be lodged with the Directors at one of the contact details listed above under heading 3. An internal appeal can be lodged by way of a written letter addressed to the Directors of our firm. If an internal appeal is unsuccessful for whatever reason, the applicant is entitled to exercise their remedies in terms of the PAIA, which include access to a Court of law.
Questions about this document? Contact info@primebridgebroker.com or see our full list of legal documents.