Governance - Odyssey Capital

General Disclosures

Financial Services and Products

Odyssey Capital Managers (Pty) Ltd is authorised to make investments in and render advice on long-term insurance (category B and C), retail pension benefits, securities and instruments, shares, debentures and securities debt, warrants, bonds, derivative instruments, participatory interest in collective investment schemes, participatory interest in hedge funds, long-term deposits and short-term deposits.

In addition, Odyssey Capital Managers holds a number of contracts with authorised product suppliers, a schedule of which can be provided upon request.

Authorised key individuals and representatives

Odyssey Capital Managers (Pty) Ltd has duly authorized and mandated the individuals below to render advice and intermediary services as defined in terms of FAIS.

Key Individuals: Craig Wilkie and Philip Lidgey.

Representatives: Craig Wilkie, Philip Lidgey, Robbie Proctor-Urwin, Keagan Higgins and Sean Culverwell.

The above-mentioned individuals meet the Fit & Proper requirements as prescribed in the FAIS Act.

Conflicts of interest

Odyssey Capital Managers continually takes steps to identify, disclose and manage conflicts of interest that may arise and to further ensure that our clients are not unduly prejudiced. Odyssey Capital Managers has a conflict-of-interest policy which can be viewed on request.

Licence status

Odyssey Capital Managers (Pty) Ltd is licensed as a Discretionary Financial Services Provider in terms of FAIS, licence number 775. A copy of our licence is available upon request.

Indemnity cover

Odyssey Capital Managers (Pty) Ltd holds professional indemnity insurance currently underwritten by Camargue Underwriting Managers (Pty) Ltd.

Compliance with Financial Advisory and Intermediary Services Act (FAIS)

Compliance with the FAIS Act is monitored by Jan Scholtz of CompliServe SA (Pty) Ltd, who is contactable on 087 897 6970 or via email on jan@compliserve.co.za

Website: www.compliserve.co.za

In addition to strict monitoring of our compliance with the Financial Advisory and Intermediary Services (FAIS) Act, Odyssey Capital Managers is a member of the following key organisations:

Financial Intelligence Centre Act (FICA)

Please note that in terms of the Financial Intelligence Centre Act (FICA), Odyssey Capital Managers is an accountable institution under law and as such obliged to report suspicious and unusual transactions that may facilitate money laundering to the authorities.

Confidentiality

Where applicable all information will be kept by Odyssey on a confidential basis and will not be made available to third parties by Odyssey unless so authorised by the client beforehand or if Odyssey is required to divulge such information in the public interest or under any law.

Complaints

Should you wish to pursue a complaint against a representative of Odyssey Capital Managers, you should address your complaint in writing to Craig Wilkie. If you cannot settle your complaint with us, you are entitled to refer it to the office of the FAIS Ombud. 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.

Contact particulars of the Ombud: PO Box 74571 Lynnwood Ridge 0040

Tel: 012 762 5000

Sharecall: 086 066 3274

Fax 012 348 3447

info@faisombud.co.za www.faisombud.co.za

Privacy disclosure

Note that our full POPIA manual is available on request.

We hereby wish to explain how we acquire, use, retain and disclose your personal information, as is required by the Protection of Personal Information Act 4 of 2013 (referred to as “POPI”).
We are committed to protecting the privacy and the integrity of your personal information by dealing with same in a lawful, legitimate and responsible manner.
In terms of POPI, “personal information” is defined as information relating to a natural/juristic person, including, but not limited to:

Information relating to personal particulars of a person or that of an entity;

Any identifying number or information, other particular assignment to the person;
The biometric information of the person;
The personal opinions, views or preferences of the person;
Correspondence sent by the person that is implicitly or explicitly of a private or confidential nature;
The views or opinions of another individual about the person.

Your personal information may be collected by us for the following reasons, some of which is mandatory:

To process know-your-client (KYC) and FICA information;
To administer the investment management agreement signed with you or your entity;
To confirm and verify your identity or to verify that you are an authorised user for security purposes;
To comply with legal and regulatory requirements or industry codes to which we subscribe;

We shall only collect information that we need for the particular purpose and no more than necessary.
Website information is collected using “cookies” which allow us to collect standard visitor usage information.

We may also disclose your personal information, where we have a duty or a right to disclose in terms of law or industry codes or where we believe it is necessary to protect our rights.
We have agreements and security measures in place to ensure that all third parties to whom your personal information is disclosed comply with the terms and provisions of the POPI Act.
In terms of legislation, we are obliged to implement measures and strategies to ensure the protection of your Personal Information, whereby unauthorised access and use is deterred. Our information security policies and procedures are reviewed on an ongoing basis.

You may contact our offices using the details below to enquire what personal information we hold for you.

Information Officer:
Craig Wilkie
Telephone Number: (011) 706 9575

Physical Address:
2nd Floor, Block B
Knightsbridge
33 Sloane Street
Bryanston
Johannesburg
2191

Email address: craig@odysseycapital.co.za

You have the right to address any complaints regarding your personal information through our normal complaints channels. Alternatively, you may contact the Personal Information Regulator:

The Information Regulator (South Africa)
JD House
27 Stiemens Street
Braamfontein
Johannesburg
2021
Complaints email address: complaints.IR@justice.gov.za
General enquiries email address: inforeg@justice.gov.za

Collective Investment Scheme disclosure

Odyssey Capital Managers (Pty) Ltd is the appointed investment / fund manager of two collective investment schemes (CIS):

The Odyssey Global fund, an Irish domiciled CIS, and;
The Odyssey BCI Worldwide Flexible Fund (‘Odyssey BCI WWFF’), a South African domiciled CIS

Collective Investment Schemes in Securities (“CIS”) are generally medium to long term investments. Past performance is not necessarily a guide to future performance, and the value of your investment may go down as well as up. Changes in exchange rates may have an adverse effect on the value, price or income of your investment. CIS are traded at ruling prices and can engage in borrowing and scrip lending. Forward pricing is used. CIS are calculated on a net asset value basis, which is the total market value of all assets in the fund including any income accruals and less any deductible expenses such as audit fees, brokerage and service fees. Actual investment performance of the fund and the investor may differ based on the initial fees applicable, the actual investment date, and the date of reinvestment of income as well as dividend withholding tax, if applicable.

Should different classes apply, these are subject to different fees and charges. A schedule of fees and charges and maximum commissions is available on request. The performance of the fund depends on the underlying assets and variable market factors. The Alternative Investment Fund Manager (AIFM), in the case of the Odyssey Global Fund, and the Manager, in the case of the Odyssey BCI WWFF, does not provide any guarantee either with respect to the capital or the return of the fund. Commission and incentives may be paid and are for the account of the investment / fund manager.

The AIFM, in the case of the Odyssey Global Fund, and the Manager, in the case of the Odyssey BCI WWFF, retains full legal responsibility for this fund, and have the right to close the fund to new investors and re-open certain portfolios from time to time to manage them more efficiently in accordance with the mandate. The portfolio management of the fund is outsourced to regulated and authorised financial services providers. Any additional information can be obtained from the AIFM, in the case of the Odyssey Global Fund, and the Manager, in the case of the Odyssey BCI WWFF.

International investments or investments in foreign securities could be accompanied by additional risks such as potential constraints on liquidity and repatriation of funds, macroeconomic risk, political risk, foreign exchange risk, tax risk, settlement risk as well as potential limitations on the availability of market information.

The information in this document does not constitute financial advice as contemplated in terms of the South African FAIS Act. The use of and/or reliance on this information is at your own risk. Independent professional financial advice should be sought before making an investment decision. Any offering is made only pursuant to the relevant offering document, the Prospectus the Supplement, the MDD, together with the current financial statements of the funds, and the relevant subscription/application forms, all of which must be read in their entirety. No offer to purchase securities will be made or accepted prior to receipt by the offeree of these documents, and the completion of all appropriate documentation. The full Prospectus and Supplement are available free of charge from the AIFM, in the case of the Odyssey Global Fund, and the Manager, in the case of the Odyssey BCI WWFF.

The Odyssey Global Fund is a sub-fund of Ci Global Investments RIAIF ICAV, an open-ended umbrella type Irish collective asset-management vehicle with variable capital and with segregated liability between sub-funds, authorised by the Central Bank of Ireland, as a Retail Investor Alternative Investment Fund (“RIAIF”). Sanlam Asset Management (Ireland) Limited, authorised by the Central Bank of Ireland as an Alternative Investment Fund Manager (“AIFM”) is the appointed AIFM to the fund and is licensed as a Financial Services Provider in terms of Section 8 of the South African FAIS Act. This fund is Section 65 approved under the Collective Investment Schemes Control Act 45, 2002 (“CISCA”).

Boutique Collective Investments (RF) (Pty) Ltd (“BCI”) is a registered Manager of the Boutique Collective Investments Scheme, approved in terms of the Collective Investments Schemes Control Act, No 45 of 2002 and is a full member of the Association for Savings and Investment SA.

Although reasonable steps have been taken to ensure the validity and accuracy of the information in this document, the AIFM, in the case of the Odyssey Global Fund, and the Manager, in the case of the Odyssey BCI Worldwide Flexible Fund, does not accept any responsibility for any claim, damages, loss or expense, however it arises, out of or in connection with the information in this document, whether by a client, investor or intermediary. This document should not be seen as an offer to purchase any specific product and is not to be construed as advice or guidance in any form whatsoever. Investors are encouraged to obtain independent professional investment and taxation advice before investing with or in any of Investors are encouraged to obtain independent professional investment and taxation advice before investing with or in any of BCI’s products. Access the BCI Privacy Policy and the BCI Terms and Conditions on the BCI website (www.bcis.co.za).

For further information outside of that provided above and below, refer to the latest MDD or fund fact sheet.

Additional fund information

AIFM: Sanlam Asset Management (Ireland) Limited Administrator: Brown Brothers Harriman Fund Administration Services (Ireland) Limited
Depositary: Brown Brothers Harriman Trustee Services (Ireland) Ltd Representative Office: Ci Collective Investments (RF) (Pty) Limited Investment Advisors: Portfolio Analytics Consulting (Pty) Limited Fund manager: Odyssey Capital Managers (Pty) Ltd.

Manager: Boutique Collective Investments (RF) (Pty) Ltd in the capacity as a Manager as defined in the Act Trustee: Standard Bank Limited Investment manager: Odyssey Capital Managers (Pty) Ltd in its capacity as an approved discretionary Financial Services Provider in terms of the Financial Advisory and Intermediary Services Act 37 of 2002, FSP 775

PAIA – Promotion of Access to Information Act

PAIA documentation provides useful information for the public to access records held by a body, including categories of available records, contact details of the Information Officer and Deputy Information Officer, and information about personal data processing and security measures. It also includes guidance on how to make a request for access to a record and information on the guide to using PAIA.

Download the Odyssey PAIA documents here (File type: ZIP Size: 844 KB)