• 1. LIST OF ACRONYMS AND ABBREVIATIONS

    1.1 “CEO” Chief Executive Officer 
    1.2 “DIO” Deputy Information Officer;
    1.3 “IO“ Information Officer;
    1.4 “Minister” Minister of Justice and Correctional Services;
    1.5 “PAIA” Promotion of Access to Information Act No. 2 of 2000( as Amended;
    1.6 “POPIA” Protection of Personal Information Act No.4 of 2013;
    1.7 “Regulator” Information Regulator; and
    1.8 “Republic” Republic of South Africa

  • 2. PURPOSE OF PAIA MANUAL

    This PAIA Manual is useful for the public to-

    2.1 check the categories of records held by a body which are available without a person having to submit a formal PAIA request;

    2.2 have a sufficient understanding of how to make a request for access to a record of the body, by providing a description of the subjects on which the body holds records and the categories of records held on each subject;

    2.3 know the description of the records of the body which are available in accordance with any other legislation;

    2.4 access all the relevant contact details of the Information Officer and Deputy Information Officer who will assist the public with the records they intend to access;

    2.5 know the description of the guide on how to use PAIA, as updated by the Regulator and how to obtain access to it;

    2.6 know if the body will process personal information, the purpose of processing of personal information and the description of the categories of data subjects and of the information or categories of information relating thereto;

    2.7 know the description of the categories of data subjects and of the information or categories of information relating thereto;

    2.8 know the recipients or categories of recipients to whom the personal information may be supplied;

    2.9 know if the body has planned to transfer or process personal information outside the Republic of South Africa and the recipients or categories of recipients to whom the personal information may be supplied; and

    2.10 know whether the body has appropriate security measures to ensure the confidentiality, integrity and availability of the personal information which is to be processed.

  • 3. KEY CONTACT DETAILS FOR ACCESS TO INFORMATION OF INVESTEC LTD, ITS SUBSIDIARIES AND AFFILIATES (‘INVESTEC’)

    3.1. Information Officer

    Name: Natalie Naicker

    Tel: +27 11 291 6296 

    Email: [email protected] 

    3.2. Deputy Information Officers

    Name: Chulekazi Jikijela

    Tel: +27 11 286 9157

    Email: [email protected]

    Name: Mikhaeel Haffejee

    Tel: +27 11 286 7760

    Email: [email protected]

    Name: Vanessa Govender

    Tel: +27 11 286 9315

    Email: [email protected]

    3.3 Access to information general contacts

    Email: [email protected]

    3.4 National or Head Office 

    Postal Address: PO Box 785700, Sandton 2146

    Physical Address: 100 Grayston Drive, Sandown, Sandton, 2196

    Telephone: +27 11 286 7000

    Website: https://www.investec.com/en_za.html

  • 4. GUIDE ON HOW TO USE PAIA AND HOW TO OBTAIN ACCESS TO THE GUIDE

    4.1. The Regulator has, in terms of section 10(1) of PAIA, as amended, updated and made available the revised Guide on how to use PAIA (“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.

    4.2. The Guide is available in each of the official languages and in braille.

    4.3. The aforesaid Guide contains the description of-

    4.3.1. the objects of PAIA and POPIA;

    4.3.2. the postal and street address, phone and fax number and, if available, electronic mail address of-

    4.3.2.1. the Information Officer of every public body, and

    4.3.2.2. every Deputy Information Officer of every public and private body designated in terms of section 17(1) of PAIA  and section 56 of POPIA ;

    4.3.3. the manner and form of a request for-

    4.3.3.1. access to a record of a public body contemplated in section 11 ; and

    4.3.3.2. access to a record of a private body contemplated in section 50 ;

    4.3.4. the assistance available from the IO of a public body in terms of PAIA and POPIA;

    4.3.5. the assistance available from the Regulator in terms of PAIA and POPIA;

    4.3.6. all remedies in law available regarding an act or failure to act in respect of a right or duty conferred or imposed by PAIA and POPIA, including the manner of lodging-

    4.3.6.1. an internal appeal; 

    4.3.6.2. a complaint to the Regulator; and 

    4.3.6.3. an application with a court against a decision by the information officer of a public body, a decision on internal appeal or a decision by the Regulator or a decision of the head of a private body;

    4.3.7. the provisions of sections 14  and 51  requiring a public body and private body, respectively, to compile a manual, and how to obtain access to a manual;

    4.3.8. the provisions of sections 15  and 52  providing for the voluntary disclosure of categories of records by a public body and private body, respectively;

    4.3.9. the notices issued in terms of sections 22  and 54  regarding fees to be paid in relation to requests for access; and

    4.3.10. the regulations made in terms of section 92 .4.4. 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.

    4.4. 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. 

    4.5. The Guide can also be obtained-

    4.5.1. upon request to the Information Officer;

    4.5.2. from the website of the Regulator (https://www.justice.gov.za/inforeg/).

    4.6 A copy of the Guide is also available in the following three official languages, for public inspection during normal office hours-

    4.6.1 English

    4.6.2 Afrikaans

    4.6.3 SeSotho 

    Section 17(1) of PAIA- For the purposes of PAIA, each public body must, subject to legislation governing the employment of personnel of the public body concerned, designate such number of persons as deputy information officers as are necessary to render the public body as accessible as reasonably possible for requesters of its records.

    Section 56(a) of POPIA- Each public and private body must make provision, in the manner prescribed in section 17 of the Promotion of Access to Information Act, with the necessary changes, for the designation of such a number of persons, if any, as deputy information officers as is necessary to perform the duties and responsibilities as set out in section 55(1) of POPIA.

    3 Section 11(1) of PAIA- A requester must be given access to a record of a public body if that requester complies with all the procedural requirements in PAIA relating to a request for access to that record; and access to that record is not refused in terms of any ground for refusal contemplated in Chapter 4 of this Part.

    4 Section 50(1) of PAIA- A requester must be given access to any record of a private body if-

    a) that record is required for the exercise or protection of any rights;

    b) that person complies with the procedural requirements in PAIA relating to a request for access to that record; and 

    c) access to that record is not refused in terms of any ground for refusal contemplated in Chapter 4 of this Part.

    5 Section 14(1) of PAIA- The information officer of a public body must, in at least three official languages, make available a manual containing information listed in paragraph 4 above.

    6 Section 51(1) of PAIA- The head of a private body must make available a manual containing the description of the information listed in paragraph 4 above.

    7 Section 15(1) of PAIA- The information officer of a public body, must make available in the prescribed manner a description of the categories of records of the public body that are automatically available without a person having to request access

    8 Section 52(1) of PAIA- The head of a private body may, on a voluntary basis, make available in the prescribed manner a description of the categories of records of the private body that are automatically available without a person having to request access

    9 Section 22(1) of PAIA- The information officer of a public body to whom a request for access is made, must by notice require the requester to pay the prescribed request fee (if any), before further processing the request.

    10 Section 54(1) of PAIA- The head of a private body to whom a request for access is made must by notice require the requester to pay the prescribed request fee (if any), before further processing the request.

    11 Section 92(1) of PAIA provides that –“The Minister may, by notice in the Gazette, make regulations regarding-

    (a) any matter which is required or permitted by this Act to be prescribed;

    (b) any matter relating to the fees contemplated in sections 22 and 54;

    (c) any notice required by this Act;

    (d) uniform criteria to be applied by the information officer of a public body when deciding which categories of records are to be made available in terms of section 15; and

    (e) any administrative or procedural matter necessary to give effect to the provisions of this Act.”

  • 5. CATEGORIES OF RECORDS OF INVESTEC WHICH ARE AVAILABLE WITHOUT A PERSON HAVING TO REQUEST ACCESS

    Category of records Types of the Record  Available on Website  Available upon request 
    Financial Statements Investec Limited Group and Company Annual Financial Statements X X
    Website All other information freely available on Investec’s website X X
  • 6. DESCRIPTION OF THE RECORDS OF INVESTEC WHICH ARE AVAILABLE IN ACCORDANCE WITH ANY OTHER LEGISLATION

    Category of Records Applicable Legislation
    Memorandum of Incorporation Companies Act 71 of 2008
    Minutes of Meetings of Shareholders Companies Act 71 of 2008
    AGM Notice Companies Act 71 of 2008
    AGM Meeting recording Market Practice
    AGM Results and responses JSE Listings Requirements
    Board Committee Terms of Reference King IV Code
    Integrated Annual Report King IV Code 
    DLC SEC report King IV Code
    Investec Limited Audit Report King IV Code 
    Investec plc Audit Report King IV Code 
    Directors Biographies Market Practice
    Board and Executive Roles JSE Listings Rules
    Banks Act
    King IV Code
    Companies Act
    Board Composition JSE Listings Rules
    Banks Act
    King IV Code
    Companies Act
    Governance Framework JSE Listings Rules
    Banks Act
    King IV Code
    Companies Act
    Board Report King IV Code
    King IV Corporate Governance Code King IV Code
    Share Register and other statutory registers and/or records and/or documents Companies Act 71 of 2008
    Records of personal information Protection of Personal Information Act 4 of 2013
  • 7. DESCRIPTION OF THE SUBJECTS ON WHICH THE BODY HOLDS RECORDS AND CATEGORIES OF RECORDS HELD ON EACH SUBJECT BY INVESTEC

    Subjects on which the body holds records Categories of records
    Accounting Customs, Excise and Transport, Formal Books of Account and Financial Statements, Source Documents.
    Company Secretarial Bank Account Records
    Banking Licence
    Company Records
    Client Records Auctions
    Banking and Deposit Taking
    Financial products and services
    Bearer Warrants
    Collective Investment Schemes
    Credit Provision
    Deceased Customers
    Financial Advisory and Intermediary Services
    General
    Insolvent Clients
    JSE Equities
    Long-Term Insurance
    Money Broking
    Pension Funds
    Promotional Competitions
    SAFEX/YIELDEX
    Securities Services
    Short-Term Insurance
    STRATE
    Trust Services
    Health, Safety and Environment Construction
    Electrical Machinery
    Elevators, escalators and passenger conveyors, Lifting Machinery & Tackle
    Fire Equipment
    General Safety
    Hazardous Chemical Substances
    Noise
    Pressure Equipment
    People and Organisation  Recruitment, Training, Discipline, Employment Equity, and Economic Empowerment.
    National Payment System Records relating to the operation and administration of payments.
  • 8. PROCESSING OF PERSONAL INFORMATION

    8.1 Purpose of Processing Personal Information
    Investec is a distinctive Bank that provides a diverse range of financial products and services to its client base, delivering profitable solutions for clients in its core areas of activity namely, Wealth & Investment and Banking. For more information on how Investec processes personal information belonging to clients refer to its Data Protection Statement located athttps://www.investec.com/en_za/legal/data-protection-statement.html.

    People and Organisation processes personal information for the purposes of management of recruitment for positions advertised as well as for the administration of human resource functions.

    The personal information of visitors, service providers and suppliers are processed for the purposes of managing our suppliers and service providers, preparation of contractual arrangements, to manage our technology resources and to grant access to our facilities and/or technology.

    8.2 Description of the categories of Data Subjects and of the information or categories of information relating thereto

     

    Categories of Data Subjects Personal Information that may be processed
    Clients, Potential Clients, Trustees, Beneficiaries, Founders and Directors/Authorized Signatories Name, address, contact details, date of birth, place of birth, identity number, passport number, bank details, details about your employment, tax number and financial information; credit history; medical records for underwriting, claims and insurance purposes; nationality; citizenship; residency status; sensitive or special categories of personal information, such as criminal behaviour and biometric information such as images, fingerprints and voiceprints.
    Service Providers and Suppliers names, registration number, vat numbers, address, bank details, directors’ information
    Employees  Identification information (e.g., full name, surname, title and identification / passport number); jurisdiction information; contact information; date of birth; education history; current employment status and employment history; earnings/salary information; right to work information (including passport and visa details); background and general screening information; other information voluntarily disclosed by employees (including special personal information).
    Visitors Personal information e.g., first name, last name, email address, address, phone number, identification document, photograph and video recording.

    8.3 The recipients or categories of recipients to whom the personal information may be supplied

     

    Categories of Data Subjects Category of personal information  Recipients or Categories of Recipients to whom the personal information may be supplied
    Clients Credit and payment history, for credit information Credit Bureaus
    Clients Contact details and/or information relating to account opening and products and services offered Other Entities within the Investec Group and an Agent acting on behalf of Investec
    Clients Transactional information and payer of funds Financial Institutions, other entities within the Investec Group, Regulatory Bodies and Law Enforcement Agencies
    Clients Home loan and property information including personal information and information relating to the transaction or account Insurance Companies, Conveyancing Attorneys and Property Valuers
    Clients Tax residency and tax information Local and International Tax Authorities
    Clients Trade information External Trade Repositories
    Clients Account information Sureties and Guarantors, other entities within the Investec Group, Regulatory Bodies and Law Enforcement Agencies
    Client Personal and account information Agent or any other person acting on the client’s behalf, an independent financial advisor or an introducer
    Clients Personal, financial and transactional information Regulatory Bodies and Law Enforcement Agencies
    Clients Address and contact information Courier Companies and Property Valuers
    Employees Identity number and names, for criminal checks  Authorised Verification Agents
    Employees Personal and employment information Other Entities within the Investec Group
    Employees Tax information Local Tax Authorities and governmental or administrative bodies
    Employees Personal and contribution information Pension/Provident fund institutions
    Employees Personal and claim information Insurance Companies
    Employees Personal, medical information  Benefit Providers
    Clients and Employees Personal, trade and account information Administrators and Technology Systems Service Providers
    Clients and Employees Personal information and personal information relating to accounts/products/services offered Independent public accountants and auditors and authorised representatives of internal control functions such as audit, legal and information security

    8.4 Planned transborder flows of personal information
    Personal information including account numbers and/or contact information is sent to countries in other jurisdictions for the provision of IT hardware and software services, travel arrangements by Travel By Investec, card deliveries as well as account opening at Investec branches in other jurisdictions which include Australia, England, France, Germany, India, Ireland, Israel, Singapore, Sweden Tokyo, United Kingdom, United States of America, Western Europe and Mauritius.

    8.5 General description of Information Security Measures to be implemented by the responsible party to ensure the confidentiality, integrity and availability of the information.

    Information is safeguarded in accordance with prevailing Investec policies, standards and practices, which are in turn based on industry-accepted good practice, through controls such as:

    • Restricting access based on business need and the principle of least privilege,
    • Restricting mechanisms for accessing information systems and assets to only corporate-managed channels
    • Strong user and administrator account authenticating
    • Devaluing data in non-production environments• The implementation of Data Loss Prevention and Detection tools/ policies
    • Secure asset disposal
    • Enforcing endpoint security, including Malware protection, and data security policies on PCs and mobile devices with access to corporate information assets
    • Using encrypted data transmission channels for external communications
    • Performing routine vulnerability scans and security penetration tests
    • Perimeter and network security controls
    • Security incident monitoring and response
    • Document protection and encryption
  • 9. AVAILABILITY OF THE MANUAL

    9.1 A copy of the Manual is available-

    9.1.1 on Investec’s website at https://www.investec.com/en_za/legal/paia-promotion-of-access-to-information-act.html;

    9.1.2 head office of Investec for public inspection during normal business hours;

    9.1.3 to any person upon request and upon the payment of a reasonable prescribed fee; and

    9.1.4 to the Information Regulator upon request.

    9.2 A fee for a copy of the Manual, as contemplated in annexure B of the Regulations, shall be payable per each A4-size photocopy made. 

  • 10. UPDATING OF THE MANUAL

    The Information Officer of Investec will on a regular basis update this manual.

     

    Issued by

    Natalie Naicker

    (Group Compliance)

  • Appendix 1

    PRESCRIBED FEES

    No.

    Description

    Amount

    1

    The request fee payable by every requestor

    R140.00

    2

    Photocopy printed black/white copy of A4 size page

    R2.00 per page or part thereof

    3

    Printed copy of A4-size page

    R2.00 per page or part thereof

    4

    For a copy in a computer-readable form on –

    (i) Flash Drive (to be provided by the requestor)

    (ii) Compact Disc

    -        If provided by the requestor

    -        If provided to the requestor

     

    R40.00

     

    R40.00

    R60.00

    5

    For a transcription of visual images per A4-size page

    Service to be outsourced. Will depend on quotation from service provider.

    6

    Copy of visual images

    7

    Transcription of an audio record per A4-size page

    R24,00

    8

    For a copy of an audio record on –

    (i) Flash Drive (to be provided by the requestor)

    (ii) Compact Disc

    -        If provided by the requestor

    -        If provided to the requestor

     

    R40.00

     

    R40.00

    R60.00

    9

    To search and prepare the record for disclosure for each hour or part of an hour, excluding the first hour, reasonably required for such search and preparation.

    To not exceed the total cost of

    R145.00

     

    R435.00

    10

    Deposit: If search exceeds 6 hours

    One third of amount per request calculated in terms of 2 and 8

    11

    Postage, e-mail or any other electronic transfer

    Actual expense, if any.

Downloads

Form 2 - Request for Access to Record of Private Body PDF 787.48 KB
PAIA Guide Afrikaans PDF 460.85 KB
PAIA Guide English PDF 457.83 KB
PAIA Guide SeSotho PDF 457.34 KB