Site url: https://www.momentum.co.za/momentum/invest-and-save/legal-and-compliance
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Soft, white concrete curves of a building in the forefront, with a skyscraper building in the background.

Legal and Compliance

Compliance is an important part of investment management. We apply strict compliance to rules and mandate limits in your investments. Our compliance department issues daily reports for any breaches on mandates and the expected timeframe in which the breach should be corrected. Portfolio managers are expected to reply to the breach reports informing compliance of the actions and timeframes in which limit breaches will be corrected.

Our investment compliance framework

Regulatory framework

Most portfolios have to comply with Regulation 28 and or the collective investments scheme’s Board Notice 90.

Mandate limits

Some business clients have specific mandate requirements around credit ratings or duration limits, which we maintain.

Credit ratings

We use various reports around credit ratings and exposures for investment management as well as managing risks. We have well-defined internal credit risk policies.

Concentration risks

We are always aware of concentration risks in the portfolios and mitigate or reduce those risks where possible.

Sub-committees of the board of directors

Audit panel

Risk committee

Executive committee

Tax committee

Compliance committee

IT committee

Meet the team

Daleen Lessing

HEAD: GOVERNANCE

BCom Economics

Elmien Werner

HEAD: RISK

BCom(Acc), CFA

Sharika Kalain

HEAD: LEGAL and REGULATORY COMPLIANCE

BCom (Law, Finance, Investments), LLB.

Hettie Joubert

HEAD: WEALTH AND RETIREMENT FUND LEGAL

BLC, LLB, LLM

Leander Snyman

HEAD: INVESTMENT COMPLIANCE AND RISK ATTRIBUTION

BSc Eng.

Bernard Pieterse

BUSINESS COMPLIANCE ANALYST

BCom(Acc), CFA

B.Com Banking

Jackie Drotsky

MOMENTUM CONSULT COMPLIANCE

ICGSA

CPrac(SA), CAIB(SA)

Contact us

Investments for individuals

Momentum Wealth




Office hours are Monday to Friday from 08:00 to 17:00.

Momentum Wealth International





Office hours are Monday to Friday from 08:00 to 16:00 (Central Africa Time). We’re closed on weekends.

Investo





Office hours are Monday to Friday from 08:00 to 17:00.

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