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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.

Investing meets innovation

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.

Our legal policies

Sub-committees of the board of directors

Audit panel

Risk committee

Executive committee

Tax committee

Compliance committee

IT committee

Meet our team

Daleen Lessing

Head: Governance

BCom Economics

Elmien Werner

Head: RISK

CA (SA)

Sharika Kalain

Head: LEGAL

BCom (Law, Finance, Investments), LLB.

Leander Snyman

Head: INVESTMENT COMPLIANCE AND RISK ATTRIBUTION

BSc Eng.

Bernard Pieterse

BUSINESS COMPLIANCE ANALYST

B.Com Banking

Jackie Drotsky

MOMENTUM CONSULT COMPLIANCE

CPrac(SA), CAIB(SA)

Resource centre

Contact us

Momentum Investments is part of Momentum Metropolitan Life Limited, an authorised financial services (FSP6406) and registered credit provider (NCRCP173), rated B-BBEE Level 1.

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