New Joiner Forms

001

New joiner forms

New joiner forms

In this booklet, you will find the new joiner forms you need to complete in your first week at Investec.
Human Resources forms:
- PAYE
- Provident fund
- Employee personal details
- Confidentially declaration
- Confidentiality agreement
- Employee Integrity policy

Compliance forms:
- Personal Account Dealing Undertaking
- Outside Business Interests / Employee Participation

Please submit all forms to your HR Consultant once completed. Before submitting these forms, you should make a copy of them
for your own records. This booklet also provides you with additional information on remuneration and medical aid.

Please contact your HR Consultant if you have any queries or concerns.



PAYE: personal particulars of employee

Important: This form must be completed and given to your HR Consultant on starting work for the first time or on accepting
employment.

First names (block letters)

Surname

SARS details
Unit number
Complex
Street number
Street name
Suburb
City Postal code
Date of birth Identity number
Income tax reference number
Should you not have a tax number, please complete an application form (IT77) available on the SARS website
(www.sars.gov.za). Once your tax number has been issued, please email it to your payroll consultant.

Banking details Relationship (if not own account)
Name of account holder

Bank

Account number Account type

Branch Branch code

Declaration
I declare that the information contained in this form is true and correct.

Signature of employee Date
Payroll consultant



Nomination of beneficiaries

Investec Group Provident Fund
Investec Group Limited Pension Fund

Full name (block letters)

Employee number

In terms of the Pension Funds Act, the following persons must be considered by the Trustees when they decide in what proportion
the benefits are to be paid from the Fund on the death of a member:
a) amember’s dependants (e.g. spouse, partner, children, parents or other persons dependent on the member, including major

children);
b) persons who are not dependants but who are nominated in writing by the member.

A. Dependants

Surname Initials Date of birth Share of benefit (eg 50%) Relationship

B. Nominees
If you wish to nominate someone not listed above, please list them in the space below.

Surname Initials Date of birth Share of benefit (eg 50%) Relationship

I, the undersigned, recognise that my circumstances and those of the persons shown above may change. I undertake to advise
investec / the Trustees of the Fund when any change should be made regarding my dependants or nominees (by completing
and signing a new nomination of beneficiaries form). I understand that this form amounts to an expression of my wishes and is not
binding on the Trustees whose responsibilities are set out in the Pension Funds Act.

Signed at on 20

Signature of member Full name and signature of witness

Nomination of beneficiaries

This explanation is not a legal document - the wording of the Pension Funds Act is definitive.

In terms of the Pension Funds Act, the Trustees of the Investec Group Limited Pension Fund and the Investec Group Provident
Fund are required to exercise their discretion to ensure that death benefits are paid in such proportions as they deem equitable to
a member’s dependants and /or persons who are not necessarily dependants but who are nominated in writing by the member.

Please list your dependants and any nominees on the nomination of beneficiaries form after you have read
the notes below:

In summary, the position is as follows:

a. The following categories of persons will be dependants:
i) persons in respect of whom the member is legally liable for maintenance (e.g. children and spouse);
ii) persons whom the Trustees consider to have been financially dependent upon the member at the time of his or her death

(e.g. partner, parents and siblings); and
iii) persons in respect of whom the member would have become legally liable for maintenance had the member not died (e.g.

an unborn child)

b. If there are dependants and nominees, the trustees must consider all dependants and allocate a portion of the benefit to one,
all or some of the dependants;

c. If there are no dependants but there are nominees, the benefits (or a portion thereof) must be paid to the nominee, provided
that if the member’s estate is insolvent, any debt in the estate must be set off against the death benefit and the remainder (if
any) of the death benefit must then be paid to the nominees;

d. If there are both dependants and nominees, the Trustees are required to consider all such dependants and nominees and then
determine the proportion which is to be paid to each dependant and / or each nominee.

Notes:

a. Any income tax payable, as well as any amounts payable in terms of section 37A and D of the Pension Funds Act (including
home loans and court orders) will be deducted from lump sum benefits due to dependants or nominees;

b. The fact that a person is classified as a dependant or nominee does not mean that the Trustees must award him or her any
portion of the benefit from the Fund;

c. The requirements set out herein do not apply to any insurance or life cover provided outside the Fund.

Employee personal details

Contact details

First name (block letters)
Surname
Cell phone number
Next of kin
Family member
Title
Full name and surname

Gender Male Female
Address

Code

Cell phone number

Home telephone

Work telephone

Relationship

Family friend (emergency contact)

Title

Full name and surname

Gender Male Female
Address
Code
Cell phone number
Home telephone
Work telephone
Relationship

Continued...

Residential address details
Street address

Suburb City Postal code

Postal address details (if different from residential address)
Address
Suburb City Postal code

Marriage details

Marital status Single Married Divorced
If married:
Date of marriage
Contract
Maiden name
Spouse’s name

Qualifications (please provide highest qualifications)

Qualification Date started Date completed School / Institution

Previous Company:

Declaration
I declare that the information contained in this form is true and correct, and I understand that any misinterpretation could render
invalid any contract of service offered.

Signature of employee Date

Confidential declaration by employee

In compliance with the Employment Equity Act, Investec requests that each employee complete the following declaration.
Employees can, at any time, add information to this form. Completion of this form is voluntary.

First name (block letters)

Surname

Please indicate to which categories you belong:

a) Male Female

b) African Coloured Chinese Indian White

c) Person with a disability
Specify nature of disability:

d) Foreign national (an individual who is neither a citizen nor a resident of the RSA)

If you are not a South African citizen by birth, please indicate the date you acquired your South African citizenship:

(dd/mm/yyyy)

I verify that the above information is true and correct.

Signature of employee Date



Confidentiality Agreement

between

First name (block letters)
Surname
(‘the Individual’)
and
Investec Bank Limited
(‘the Company’)

1. Introduction

The Individual, by reason of his/her employment with the Company or by reason of his/her access to the Company’s
premises will, by nature of the business carried out by the Company, have access to and receive in trust, certain
confidential information which is privy to the Company for the success and carrying on of its business.

2. Confidentiality

2.1 The Individual acknowledges that any use or disclosure of the confidential information other than expressly authorised by
this agreement or otherwise by the Company, in writing, will be to the Company’s detriment and may result in the Company
suffering substantial and irreparable loss and damage.

2.2 The Individual hereby undertakes to the Company that he/she will only use the confidential information for the purpose of
carrying out his/her duties in accordance with his/her appointment, save as the Company may authorise in writing, and that
such confidential information shall not be used for any person’s gain, including the Individual him/herself and any third person.

2.3 The Individual undertakes, during the period when he/she is on the Company’s premises or in the Company’s employ, and
ad infinitum thereafter, that he/she will hold the confidential information in the strictest confidence and trust for the benefit of
the Company and that he/she will not (save where and to the extent that it is required by law to do so) without the prior
written consent of the Company divulge or grant access to any part of the confidential information to any person other than:

2.3.1 a person who needs to know the confidential information in order to enable him/her to perform
his/her duties; and

2.3.2 a person who has been approved by the Company in writing and who has entered into confidentiality
agreement, a copy of which is in the possession of the Company.

3. Exclusive property

The Individual agrees that the confidential information and all documents and other materials which contain confidential
information directly or indirectly made available to the Individual by the Company are, and shall remain, the exclusive
property of the Company.

4. Definitions
In this agreement the expression ‘confidential information’ shall include any information (whether or not in written or permanent form
and whether or not compiled from any information in the public domain) relating to:

Confidentiality Agreement
4.1 the Company and its past, present and projected clients, products, transactions and services
4.2 the Company’s investment processes
4.3 the Company’s business and investment methods, know-how and its past, present and projected research,
analytical and marketing strategies
4.4 the identity of and details relating to the investments held by the Company for and on behalf of its clients
4.5 the remuneration and benefits of the Individual and/or any other employee of the Company
4.6 any and all of the Company’s computer software.
In this agreement the expression ‘confidential information’ shall not include any information which the individual can prove is:
-  known to the Individual prior to the date of this agreement and not obtained directly or indirectly from the Company; or
- available to the general public in the form in which it is possessed by the Company other than as a result of a breach of

duty of confidence owed to the Company by any person; or
- obtained from a third party who lawfully possesses such information and which has not been obtained in breach of a

duty of confidence owed to the Company by any person.

5. Duties
The duties in this agreement are in addition to, and are not in any way a substitution for, any duty of confidence which the
Individual and any other third party may owe the Company at law.

Signed at on 20

For and on behalf of For and on behalf of

Investec Bank Limited Investec Bank Limited

Signature of employee Witness (name and signature)

Employee Integrity Policy

Investec has a strong culture of entrenched values, which form the cornerstone of our behaviour towards stakeholders. These
stakeholders include employees, shareholders, clients, regulators, investment analysts, rating agencies, suppliers, the media and
the community. We are committed to honouring the trust and confidence placed in us through a combination of sound judgement
and informed professional advice.

One of our values requires employees to “conduct all internal and external dealings with integrity, consistently and
uncompromisingly displaying moral strength and behaviour which promotes trust”. Integrity and confidence are critical to our
reputation and sustainability.

Accordingly, we expect employees to adopt a responsible, open and trustworthy approach to managing their behaviour within the
organisation. Employees are encouraged to deal with issues openly and honestly, by sharing information directly and at any level
which they feel appropriate.

Corporate governance and regulatory compliance

Our businesses are subject to rigorous external regulation and supervision. Consequently, all employees have a duty to comply
with acceptable standards of corporate governance and international best practice which we adopt, having due regard for:
- The legal requirements of the region in which they operate
- The code of corporate governance applicable in that jurisdiction
- The standards of conduct and competence required of a financial service provider
- Ethical business practice, which includes fairness, accountability, responsibility and transparency.

Our philosophies, policies and practices are outlined in BAWI, published on the Investec intranet, http://www.iexpress.investec.com.

Risk management

Risk management is critical to our operations and in order to deliver value to all stakeholders, we continuously seek to comply with
international best practice.

Our people are our most important asset and in order to comply properly with acceptable standards of corporate governance and
international best practice, we continuously review our practices and ensure that employees comply with the required standards.
Where necessary from a business perspective, the following checks will be conducted from time to time:
- Verification of qualifications and experience
- Credit checks
- Criminal record checks
- Other checks as may be required

The employee’s responsibility

Each employee is responsible for living the values and complying with our policies and standards of best practice. Employees are
required, among other things, to:
- Work effectively under pressure, while exercising sound judgement and maintaining positive relationships with clients,

colleagues and management
- Ensure they minimise conflict between corporate and personal affairs
- Make a full disclosure (to management or Human Resources), where a potential activity or transaction is likely to constitute a

conflict of interests or to interfere with the individual’s responsibility to the group
- Make a full disclosure (to management or Human Resources), where the employee’s personal circumstances change in a

manner which may affect his or her ability to comply with our standards of best practice

If any of our standards are breached and this requires intervention, we will, where appropriate and practical, intervene and act in
accordance with the guidelines for fair procedure set out in the Labour Relations Act – Code of Good Practice for Employers. Any
misrepresentation by an employee will be regarded as serious misconduct and may result in disciplinary action being taken against
him/her.

Any queries or concerns regarding possible non-compliance or confl ict situations must be addressed immediately with
management, Group Compliance or Human Resources (either Employee Relations or the relevant HR resourcing consultant).

Confidentiality of employee information
- Any employee check will require prior authorisation by management
- Checks will be conducted only where there is a reasonable and justifiable business requirement

(where there is potential risk to Investec)
- The employee’s right to privacy will be upheld and respected at all times
- The confidentiality of employee information will be maintained

Declaration by employee
I acknowledge receipt of this policy document and confirm that:
a) I accept the terms and conditions contained in it
b) I undertake to make a full disclosure in the event that my personal circumstances change in a manner which may affect my

ability to comply with the group’s standards of best practice
c) I consent to the above checks being carried out should Investec deem it necessary from a business perspective

Full name (block letters) Surname

Signature Date

Personal Account Dealing Undertaking

Please complete the form, and submit to [email protected] for review.

Name (block letters)

Surname

Employee Number

To comply with the Personal Account Dealing policy of Investec Limited (Investec) you are required to disclose whether you
currently have any stock broking accounts with either Investec Securities (Pty) Limited, or another stockbroker, in which you trade
shares or other listed securities.

You are required to disclose these stock broking accounts regardless of whether they are in your own name, or are in the name
of a person connected* to you, if you control, materially influence, and/or have sole discretion to operate the connected party
account.

* Please note ‘connected persons’ include all relatives and co-habitees as well as all juristic persons (i.e. companies, trusts)
that you are related party of.

I, the above named employee, hereby declare that (please tick option A or B):

A** I have a personal or connected party stock broking account with Investec Securities (Pty) Limited and/or another
stockbroker

B I do not have a personal or connected party stock broking account with Investec Securities (Pty) Limited and/or another
stockbroker

** Please note that, if you select Option A, Investec Group Compliance will contact you in due course to request further information
and documentation relating to the stock broking accounts.

Regardless of whether you do, or do not, have personal or connected party stock broking accounts you are required to sign and
abide by the following Personal Account Dealing undertaking:

1. I hereby undertake to comply with the Personal Account Dealing policy of Investec Limited ( as amended from time to
time).

2. I hereby undertake to comply with all additional Personal Account Dealing policies of the business unit I am employed
by ( as amended from time to time).

3. I acknowledge that failure to comply with either the Investec Ltd, or the respective business unit’s, Personal Account
Dealing policies constitutes an act of gross misconduct, which can result in disciplinary action and may lead to
dismissal.

4. I undertake to abide by the market abuse section of the Security Services Act 36 of 2004 ( and any amendments
or replacements thereof) dealing with, inter alia, insider trading, market manipulation and misleading information.
I acknowledge that failure to do so can result in both civil and criminal sanctions as well as internal disciplinary
procedures.

5. If I have selected Option A above I confirm that I will disclose, upon request from Group Compliance as at the date of
such a request, all stock broking accounts in my name and/or stock broking accounts in the name of a connected
party if I control, materially influence, and/or have sole discretion to operate the connected party account. I understand
that failure to disclose any such accounts constitutes a breach of Investec’s Personal Account Dealing policy.

6. I agree to disclose any additional stock broking accounts opened in my name and/or in the name of connected party if
I control, materially influence and/or have sole discretion to operate the connected party accounts during the course of
my employment to Group Compliance.

7. I authorise Investec to apply for and obtain from any of my brokers / investment managers any information (including
transaction detail) pertaining to any stock broking accounts in my name and stock broking accounts in the name of a
connected party that I control, materially influence, and/or have sole discretion to operate to the extent permitted by the
regulations of the jurisdiction where the accounts are located) irrespective of whether such accounts are held locally or
offshore and respective of the financial institution or regulator that can provide such information.

7.1. This authority commences on the date of this undertaking and will continue for as long as I remain an employee
of Investec. Written notification to any or all of the said persons from Investec or from me that I have ceased to
be an employee of Investec will terminate Investec’s authority, in terms of this undertaking, to obtain information
relating to transactions effected after the termination date of my employment at Investec. Not with standing
the termination of my employment, Investec shall still be entitled to obtain the information set out above for
transactions effected prior to such termination.

7.2. I indemnify all brokers / investment managers with stock broking accounts in my name and/or stock broking
accounts in the name of a connected party that I control, materially influence, and/or have sole discretion to
operate from claims of whatsoever nature or howsoever arising as a result of them disclosing to Investec any
information referred to above. This indemnity is also binding my heirs, executors, trustees and assigns.

8. I agree that if I am precluded from entering into a personal account transaction, I may not (other than in the proper
course of my employment):

8.1. Procure any other person to enter into such a transaction;

8.2. Communicate any information or option to any other person if I know, or reasonably ought to know, that the
person will, as a result, enter into such a transaction or will counsel or procure some other person to do so

9. I agree to abide by Investec Securities (Pty) Limited rules and all their processes which include the Investec Securities
Online (ISO) requirements when transacting online.

10. I further agree that this undertaking forms part of my contract of employment or contract for services ( as applicable)
with you and that any breach of this undertaking will entitle you to, among other things, terminate the contract without
notice.

Name Date Signature

Outside Business Interests / Employee Participation form as at
commencement of employment

Please complete the form, and submit to [email protected] for review.

Name (block letters)

Surname

Employee Number

1. Outside Business Interests details
An Outside Business Interest includes ( but is not limited to) any of the following:

a) A material financial or proprietary interest (including beneficial holdings) in:
- a company, trust or similar vehicle;
- any asset class (e.g. mineral or mining rights, commercial property);

b) An appointment as:
- a director (executive or non-executive) or trustee to any of the entities referred to in 1 (a) above;
- a director (executive or non-executive) of any listed company.

2. Employee Participation details
An Employee Participation includes ( but is not limited to) the following:

a) A practice where you as an employee:
- co-invest with an Investec client;
- enter into transaction in which you have a direct or indirect interest (including external or self-employment) that competes

with a business offering or interest of Investec;
- invest in a product offered by Investec to its clients which you have either originated or manage;
- derive a direct or indirect personal interest or benefit from any transaction to which a member of the Group is also party;
- enter into any commercial contract, (e.g. commercial lease) that competes or is deemed to compete with the business

interests of any member of the Group.

b) A material beneficial holding:
- of any asset class or contract in which any member of the Group actively engages as part of their normal business

activities;
- in any entity that competes or is deemed to compete with the business interests of any member of the Group;
- in any entity that supplies goods and services to any member of the Group;

c) An appointment as:
- a director (executive or non-executive) or trustee to any of the entities referred to in 2 (a) or (b) above.

To comply with Investec’s Outside Business Interests and Employee Participation policies
you are required to disclose whether you currently have any Outside Business Interests
or Employee Participation as set out above.

3. Employee Declaration
I, the above named employee, hereby declare that (please tick applicable options):
A** I have an Outside Business Interest
B** I have an Employee Participation
C I do not have Outside Business Interest or Employee Participation

** Please note that, if you select Option A or B, Investec Group Compliance will contact you in due course to request further
information and/or documentation relating to your Outside Business Interests or Employee Participations.

Regardless of whether you do, or do not, have Outside Business Interests or Employee Participations you are required to sign
and abide by the following undertaking:

I confirm that I have read and understood the Investec Outside Business Interests and Employee Participation Policies. I hereby
declare that proposed/existing Outside Business Interests or Employee Participations will in no way represent a conflict of interests.
I also acknowledge that failure to comply with the Outside Business Interests or Employee Participation Polices, or any written
amendment there to from to time, may constitute an act of gross misconduct and may result in disciplinary action.

Name Date Signature

019

New joiner forms

Notes