legal
advisors
regulatory & compliance

WAAM secures industry best advisory practice by calling upon the services of leaders in their respective professional fields.

advisors

legal advisors

ENSafrica
Fluxmans Attorneys
Werksmans Attorneys
Walkers Attorneys
Du Pont Partners

tax advisors

Werksmans
BDO South Africa Incorporated
Renmere

compliance officer

Compli-Serve

fund administrators

Apex Fund and Corporate Services SA (Pty) Ltd
Stonehage Flemming Corporate Services Bellerive Trust Limited

prime broker

Peregrine

auditors

BDO South Africa Incorporated
Apex Partners
Bracken Rothwell

custodians

Apex Partners

regulatory & compliance

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

westbrooke alternative asset management proprietary limited

Westbrooke Alternative Asset Management 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. Westbrooke Alternative Asset Management is a member of the South African Venture Capital and Private Equity Association. Westbrooke Alternative Asset Management has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke alternative asset management UK limited

Westbrooke Alternative Asset Management UK Limited (WAAM UK) (FRN 792259), is an Appointed Representative of Capricorn Capital Partners UK Limited, which is authorized and regulated by the Financial Conduct Authority (FCA) under Firm Reference No. 748414

section 12J

See below a list of our current S12J entities and their respective regulatory details. These entities are 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). WAAM is appointed as the investment manager to render financial services in connection with the below S12J entities.

Strategy Entity Product Location FSP Licence Category FSP No. VCC No.
Westbrooke Alto Alto 2018 S12J Local Cat 2 48805 VCC-0082
Westbrooke Aria Aria 2016 / 2017 S12J Local Cat 2 45753 VCC-0014
Westbrooke Aria Aria 2018 S12J Local Cat 2 48672 VCC-0080
Westbrooke Aria Aria 2019 S12J Local Cat 1 49642 VCC-0142
Westbrooke Aria Aria 2020 S12J Local Cat 1 50271 VCC-0183
Westbrooke Aria Aria 2021 S12J Local Cat 1 50373 VCC-0200
Westbrooke Aria Aria 2022 S12J Local Cat 1 50223 VCC-0199
Westbrooke Aria Plus Aria Plus 2019 S12J Local Cat 1 49644 VCC-0144
Westbrooke Aria Plus Aria Plus 2020 S12J Local Cat 1 50222 VCC-0184
Westbrooke Host Host 2019 S12J Local Cat 1 49641 VCC-0145
Westbrooke Stac Stac 2018 S12J Local Cat 2 48756 VCC-0081
Westbrooke Stac Stac 2019 S12J Local Cat 1 49640 VCC-0143
Westbrooke Stac Stac 2020 S12J Local Cat 1 50224 VCC-0182
Westbrooke Stac Preferred Stac Preferred S12J Local Cat 1 50378 VCC-0202
Westbrooke Capital Hospitality WCH 2016 / 2017 / 2018 S12J Local Cat 2 46462 VCC-0026

compliance

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

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