PAIA Manual
1. OBJECTIVE:
This manual has been compiled in accordance with the Promotion of Access to Information Act No. 2 of 2000 (“the Act”) and serves as part of the manual for IOKI accompanied by the above-mentioned data regulations and legislations herein. Section 51 of the Act requires that we as a private body compile a manual giving information to the public regarding the procedures to be followed in requesting information from us for the purpose of exercising or protecting rights. The aim of this manual is to assist potential requesters, who intend to obtain documents or records from the company in terms of the Act, by providing them with the processes to be followed in initiating such requests.
2. CONDUCT OF BUSINESS:
The Institute of Key individuals (Pty) Ltd, is a private company carrying on business as a Functional Specialisation Firm (FSF) Registered under the Laws of the Republic of South Africa. The functions include KI Specialised Accredited Training with CPD points buttressed by SAQA Recognised Professional Bodies and a Compliance Function for the provision of specialised recruitment services regarding the KI designation.
The FSF encompasses Business Consulting services through Factual advice for bespoke tailormade business solutions to simplify business processes using artificial intelligence and robotic process automation for a business to thrive.
IOKI provides a meeting place for like-minded professionals “Key Individuals”, and individuals from distinctive professions with up to 30 years’ experience collaborating hand in glove with IOKI. Herein IOKI recognizes various professions across the commerce spectrum which include KI’s, Compliance Officers, CFA’s, CA’s CFP’s, CAIA’S, Regulatory Accountants, Actuaries, Attorneys, Risk Analysts, Business Analysts, Business Consultants, Data analysts, Developers, Professional
Bodies, and specialised organisations enabling IOKI to be an effective Functional Specialisation Firm.
The Institute of Key Individuals is committed to upholding the principles enshrined in the Constitution and national legislation including but not limited to PAIA and POPIA. The former contains the key principles of good governance, transparency and accountability.
PAIA, as amended by section 110 of POPIA, was promulgated to give effect to the constitutional right of access to information held by the State or by another person, which information is required for the exercise or protection of any rights.
3. PARTICULARS IN TERMS OF THE SECTION 51 OF SOUTH AFRICA ISSUED PAIA MANUAL
CONTACT DETAILS (SECTION 51(1) (A) OF THE PAIA ACT)
The Director of IOKI, Ronald Gwenzi, who is the Head of IOKI as defined in the Act, tasked to receive and address all
requests for information that have been made in accordance with the Act.
All requests for information made in terms of the Act, directed to the company, should be addressed to the Information Officer or Head at:
| Head of the Organisation: | IOKI |
| Designation: | CEO & Founder |
| Contact Person: | RONALD GWENZI – MD |
| Postal address: | 122 Beech Street. NorthCliff 2195 |
| Telephone number: | +27 790 463 207 |
| Email address: | rgwenzi@ioki.co.za |
4. DESCRIPTION OF GUIDE REFERRED TO IN SECTION 10: SECTION 51(1) (B)
PAIA grants a requester access to records of a private body, if the record is required for the exercise or protection of any rights. If a public body lodges a request, the public body must
be acting in the public interest. For purposes of PAIA, INSTITUTE OF KEY INDIVIDUALS is a private body.
Requests in terms of PAIA shall be made in accordance with the prescribed procedures, at the rates provided. The forms and tariffs are dealt with in sections 8 & 10 of this Manual.
Section 23 of POPIA (read with sections 18 and 53 of PAIA), grants a data subject (a customer, employee or third party) a right to request confirmation of records containing their personal information being held by INSTITUTE OF KEY INDIVIDUALS, which confirmation shall be provided free of charge. The requester can subsequently request a copy of the record or a description of the personal information contained within the record, subject to the fees prescribed by PAIA. Requesters are referred to the Guide in terms of Section 10 of PAIA which has been compiled by the South African Human Rights Commission (“SAHRC”), which contains information for the purposes of exercising Constitutional Rights. The Guide is available from the SAHRC or at their website at http://www.sahrc.org.za It is available in all of the official languages. Please direct any queries to the address below:
The Guide is available for inspection, inter alia, at the offices of the:
PHYSICAL ADDRESS:
The Information Regulator JD House, 27 Stiemens Street Braamfontein
Johannesburg Gauteng 2001
Postal Address:
P.O. Box 31533 Braamfontein 2017
5. APPLICABLE LEGISLATION – AUTOMATIC AVAILABILITY OF CERTAIN RECORDS
Records are available in accordance with the following current South African legislation and any amendments thereof and regulations thereto (only to the extent that the relevant Act is applicable, and which therefore makes disclosure of records compulsory):RELEVANT LAWS AND LEGISLATION, APPLICABLECODES, RULES, STANDARDS, DIRECTIVES, CHARTERS, NOTES AND CIRCULARS
| ARTICLE NUMBER | REFERENCE |
|---|---|
| 1. | Administration of Estates Act 66 of 1965 |
| 2. | ASISA Standard on Living Annuities |
| 3. | ASISA Standards Applicable to Collective Investment Scheme Industry |
| 4. | Auditing Professions Act No 26 of 2005 |
| 5. | Banks Act 94 of 1990 |
| 6. | Basic Conditions of Employment Act 75 of 1997 |
| 7. | Broad-based Black Economic Empowerment Act 53 of 2003 |
| 8. | Civil Union Act 17 of 2006 |
| 9. | Code for responsible investing in South Africa (Crisa) |
| 10. | Collective Investment Schemes Control Act 45 of 2002 and subordinate legislation |
| 11. | Companies Act No. 71 of 2008 |
| 12. | Company Securities (Insider Dealing) (Bailiwick of Guernsey) Law, 1996 |
| 13. | Compensation for Occupational Injuries and Diseases Act No. 130 of 1993 |
| 14. | Competitions Act 89 of 1998 |
| 15. | Constitution of RSA Act 108 of 1996 |
| 16. | Constitution of the Republic of South Africa No 108 of 1996 |
| 17. | Consumer Affairs (Unfair Business Practices) Act 71 of 1988 |
| 18. | Consumer Protection Act 68 of 2008 |
| 19. | Copyright Act 98 of 1978 |
| 20. | Currencies and Exchanges Act 9 of 1993 |
| 21. | Data Protection (Bailiwick of Guernsey) Law, 2001 (Consolidated text) |
| 22. | Divorce Act 70 of 1979 |
| 23. | Electronic Communications Act No 36 of 2005 |
| 24. | Electronic Communications and Transactions Act 25 of 2002 |
| 25. | Employment Equity Act No. 55 of 1998 |
| 26. | Employer-Employee |
| 27. | Employment Equity Act No 55 of 1998 |
| 28. | Estate Duty Act 45 of 1995 |
| 29. | Exchange Control Regulations |
| 30. | Financial Advisory and Intermediary Services Act 37 of 2002 and subordinate |
| 31. | Financial Institutions (Protection of Funds) Act 28 of 2002 |
| 32. | Financial Intelligence Centre Act 38 of 2001 and subordinate legislation |
| 33. | Financial Markets Act 19 of 2012 and subordinate legislation |
| 34. | Financial Services Board Act 97 of 1990 |
| 35. | Financial Services Ombud Schemes Act 37 of 2004 |
| 36. | Foreign Account Tax Compliance Act (FATCA) |
| 37. | FSB Directives and Circulars (Not legislation) |
| 38. | General Data Protection Regulation- No. 4 of 2013 Protection of Personal Information Act |
| 39. | Handbook for Financial Services Businesses on Countering Financial Crime |
| 40. | Hazardous Substances Act No. 15 of 1973 |
| 41. | Income Tax Act 58 of 1962 and subordinate legislation |
| 42. | Income Tax Act No. 58 of 1962 |
| 43. | Insolvency Act 24 of 1936 |
| 44. | Inspection of Financial Institutions Act 80 of 1998 |
| 45. | Insurance Act 19 of 2017 and regulations made under the Act |
| 46. | Intellectual Property Laws Amendment Act No 28 of 2013 |
| 47. | Intestate Succession Act 81 of 1989 |
| 48. | JSE Ltd Rules and Directives |
| 49. | King Code of Conduct for Corporate Governance (not legislation) |
| 50. | Labour Relations Act 66 of 1995 |
| 51. | Licensees (Capital Adequacy) Rules 2010 |
| 52. | Long-Term Insurance Act 52 of 1998 and subordinate legislation |
| 53. | Maintenance of Surviving Spouse Act 27 of 1990 |
| 54. | Matrimonial Property Act 88 of 1985 |
| 55. | Medical Schemes Act No. 131 of 1998 |
| 56. | National Credit Act No. 34 of 2005 |
| 57. | National Environment Management Act No. 107 of 1998 |
| 58. | National Environmental Management: Air Quality Act No. 39 of 2004 |
| 59. | National Environmental Management: Waste Act No. 59 of 2008 |
| 60. | National Health Act No. 61 of 2003 |
| 61. | National Water Act No. 36 of 1998 |
| 62. | Occupational Health and Safety Act No. 85 of 1993 |
| 63. | Pension Funds Act No. 24 of 1956 |
| 64. | Pensions Funds Act 24 of 1956 and subordinate legislation |
| 65. | Prevention and Combating of Corrupt Activities Act 12 of 2004 |
| 66. | Prevention of Organised Crime Act 121 of 1998 |
| 67. | Promotion of Access to Information Act No. 2 of 2000 |
| 68. | Promotion of Administrative Justice Act 3 of 2000 |
| 69. | Promotion of Equality and Prevention of Unfair Discrimination Act 4 of 2000 |
| 70. | Prospectus Rules 2007 |
| 71. | Protected Disclosures Act No. 26 of 2000 |
| 72. | Protection of Constitutional Democracy against Terrorist and Related Activities |
| 73. | Protection of Personal Information Act No. 4 of 2013 |
| 74. | Regulation of Interception of Communications and Provision of Communication – Related Information Act No. 70 of 2002 |
| 75. | SARS Director Circulars and Notes |
| 76. | Securities Transfer Tax Act 25 of 2007 |
| 77. | Securities Transfer Tax Administration Act 26 of 2007 |
| 78. | Skills Development Act 97 of 1998 |
| 79. | Skills Development Levies Act No. 9 of 1999 |
| 80. | Tax Administration Act 28 of 2011 |
| 81. | The Authorised Collective Investment Schemes (Class B) Rules 2013 (the Class |
| 82. | The General Data Protection Regulation (GDPR) (Regulation (EU) 2016/679) |
| 83. | The Licensees (Code of Business Rules 2014) |
| 84. | The Protection of Investors (Bailiwick of Guernsey) Law, 1987 |
| 85. | Tobacco Products Control Act of 1993 |
| 86. | Trademarks Act 194 of 1993 |
| 87. | Trust Property Control Act 57 of 1989 |
| 88. | UK Bribery Act 2010 |
| 89. | Unemployment Insurance Contributions Act No. 4 of 2002 |
| 90. | US Investment Advisers Act 1940 (amended by Dodd Frank Act) |
| 91. | Value Added Tax Act No. 89 of 1991 |
| 92. | Wills Act 7 of 1953 |
6. SCHEDULE OF RECORDS
RECORDS AVAILABLE IN TERMS OF ANY OTHER LEGISLATION
The following categories of records are automatically available without a person having to request access in terms of PAIA:
| SUBJECT | CATEGORIES OF RECORDS |
|---|---|
| IOKI COMPANY RECORDS- REGISTER AVAILABLE FOR INSPECTION |
Share register Dividend register Financial statements Integrated annual report Appointments/resignation of directors Share dealings of directors Dividend declarations Mergers and acquisitions Corporate transactions Circulars to shareholders Notices of general meetings Shareholders’ meeting minutes (For shareholders only) Special and general meetings of the company Annual general meeting of the company |
Records are subject to INSTITUTE OF KEY INDIVIDUALS Record Policies, Procedures and Processes, and will be access and version controlled depending on the classification.
The Company has in its possession the following categories of records on the subject matters referred to hereunder and for which a request for access needs to be made in terms of PAIA or the POPI Act:
| SUBJECT | CATEGORIES OF RECORDS |
|---|---|
| INVESTIGATION AND COMPLIANCE |
|
| IOKI CORPORATE FINANCE | The corporate Finance department maintains financial and management accounts for the Company and provides back-office activities that support Integrated Treasury and Cash Management. Corporate Account records comprise the following main categories:
|
| IOKI CHIEF EXECUTIVE OFFICER’S OFFICE |
The Chief Executive’s office records comprise the following main categories:
|
| IOKI INTERNAL RISK AND COMPLIANCE | The purpose is to provide the Corporate Offices and Operations with assurance that risks and compliance issues are being appropriately managed across the Company. Records comprise the following main categories:
|
| CORPORATE COMMUNICATIONS, PRODUCT, SALES,AND MARKETING | The Corporate Communications and Marketing team control communications and marketing to the Company. Corporate Communications records consist of the following main categories:
|
| IT DEPARTMENT | IOKI outsourced IT Department is responsible for developing, supporting and providing assurance on the implementation of IT policies, procedures, standards and best practice in the Company. IT department records comprise the following main categories:
|
| LEGAL DEPARTMENT | The outsourced Legal department provides assistance with all corporate legal matters material to the Company. Legal department records comprise the following main categories:
|
A person (customer, employee or third party) has the right to request access in terms of section 23 of POPIA:
| SUBJECT | CATEGORIES OF RECORDS |
|---|---|
| PERSONAL INFORMATION |
|
| SPECIAL PERSONAL INFORMATION |
|
7. FORM OF REQUEST
IOKI hereby avails Form A to E to acknowledgement if the rights of the data subject in the rendering of services accordingly.
For purposes of facilitating a request in terms of the Act, a description of the records and the categories in which these subjects are classified which are held by the company are provided in our information policies.
Some Categories of records may be subject to the grounds for refusal of access to Records.
The records listed in the categories of IOI information may be formally requested, but access to parts of these records or the whole record may be refused on legal grounds.
Access will also be refused where requests are clearly frivolous and or vexatious.
The Information Officer may grant a request for access to a record of the Regulator, if – The disclosure of the record would reveal evidence of a substantial contravention of, or failure to comply with the law. and the public interest in the disclosure of the record clearly outweighs the harm contemplated in any of the grounds for refusal of access to records.
8. THE REQUEST PROCEDURES:
All requests should be made to the information officer via the forms provided from IOKI, Form A-E.
9. TO FACILITATE THE PROCESSING OF YOUR REQUEST, KINDLY:
Use the prescribed forms From A to in the Forms section when a request is made to a private body (IOKI) or business.
The form must be addressed and submitted to the head of the private body or Information Officer at his/ her address, fax number, or electronic mail address.
The form must:
Provide sufficient particulars to enable the head of the private body to identify the record/s requested and to identify the requester, Indicate which form of access is required, specify a postal address or fax number of the requester in the Republic,
identify the right that the requester is seeking to exercise or protect, and Provide an explanation of why the requested record is required for the exercise or protection of that right, if in addition to a written reply, the requester wishes to be informed of the decision on the request in any other manner, to state that manner and the necessary particulars to be informed in the other manner, If the request is made on behalf of another person, to submit proof of the capacity in which the requester is making the request, to the reasonable satisfaction of the head of the private body.
10. IOKI MANUAL AVAILABILITY
This IOKI manual is available for inspection as follows:
For viewing online on the company website at www.ioki.co.za
In hard copy, to be viewed free of charge by appointment during office hours, at the Johannesburg office of INSTITUTE OF KEY INDIVIDUALS
The manual is obtainable for inspection, on reasonable prior notice, free of charge. Copies of the manual of the Company are also available on the Company’s website.
