Legal

We value the reputation we have earned as a company that adheres to the highest ethical standards and best practice.

WAAM is authorised and regulated in South Africa by the Financial Services Board (no. 46750) and is the holder of FAIS category 1, 2 and 2A licences. WAAM is a member of the South African Venture Capital and Private Equity Association.

WAAM is appointed as the investment manager to render financial services in connection with the Westbrooke Special Opportunities SNN QI Hedge Fund.

Westbrooke Alternative Rental Income Assets Limited (hereinafter referred to as ‘Westbrooke Aria’) is the holder of a FAIS category II license, under license number 45753, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0014. Westbrooke Aria has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

Westbrooke ARIA 2018 (hereinafter referred to as ‘Aria 2018’) is the holder of a FAIS category II license, under license number 48672, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0080. Aria 2018 has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke ARIA 2019

Westbrooke ARIA 2019 (hereinafter referred to as ‘Aria 2019’) is the holder of a FAIS category II license, under license number 49642, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0142. Aria 2019 has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke ARIA 2020

Westbrooke ARIA 2020 (hereinafter referred to as ‘Aria 2020’) is the holder of a FAIS category II license, under license number 50271, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0183. Aria 2020 has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke ARIA PLUS 2019

Westbrooke ARIA Plus 2019 (hereinafter referred to as ‘Aria Plus 2019’) is the holder of a FAIS category II license, under license number 49644, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0144. Aria Plus 2019 has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke ARIA PLUS 2020

Westbrooke ARIA Plus 2020 (hereinafter referred to as ‘Aria Plus 2020’) is the holder of a FAIS category II license, under license number 50222, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0184. Aria Plus 2020 has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke host

Westbrooke HOST (hereinafter referred to as ‘Host’) is the holder of a FAIS category II license, under license number 49641, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0145. Host has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

Westbrooke Stac (hereinafter referred to as ‘Stac’) is the holder of a FAIS category II license, under license number 48756, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0081. Stac has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke stac 2019

Westbrooke Stac (hereinafter referred to as ‘Stac 2019’) is the holder of a FAIS category II license, under license number 49640, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0143. Stac 2019 has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke stac 2020

Westbrooke Stac (hereinafter referred to as ‘Stac 2020’) is the holder of a FAIS category II license, under license number 50224, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0182. Stac 2020 has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

Westbrooke Alto (hereinafter referred to as ‘Alto’) is the holder of a FAIS category II license, under license number 48805, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0082. Alto has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

Westbrooke Capital Hospitality (hereinafter referred to as ‘WCH’) is the holder of a FAIS category II license, under license number 46462, and is authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962), under reference number VCC-0026. WCH has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.