MANUAL ADOPTION

This manual forms part of Omnia Escrow’s internal business processes and procedures. Any reference to the “organisation” shall be interpreted to include Omnia Escrow and, where applicable, RockWealth Capital (Pty) Ltd as the licensed principal.

 

The organisation’s governing body, its employees, contractors, suppliers and any other persons acting on behalf of the organisation are required to familiarise themselves with the manual’s requirements and to comply with the processes and procedures set out herein.

 

Risk owners and control owners are responsible for overseeing and maintaining control procedures and activities.

1. DEFINITIONS

1.1 Data Subject

The person to whom Personal Information relates.

1.2 Deputy Information Officer

The person to whom any power or duty conferred or imposed on an Information Officer by POPIA has been delegated.

1.3 Head

In relation to a private body means:

•       in the case of a natural person, that natural person or any person duly authorised by that natural person;

•       in the case of a partnership, any partner of the partnership or any person duly authorised by the partnership;

•       in the case of a juristic person: the chief executive officer or equivalent officer, or any person duly authorised by such officer.

1.4 Information Officer

The head of a private body.

1.5 Information Regulator

The Regulator established in terms of Section 39 of POPIA.

1.6 PAIA

The Promotion of Access to Information Act 2 of 2000, as amended from time to time.

1.7 Person

A natural person or a juristic person.

1.8 Personal Information

Information relating to an identifiable, living, natural person, and where applicable an identifiable, existing juristic person, including but not limited to:

•       information relating to race, gender, sex, pregnancy, marital status, national, ethnic or social origin, colour, sexual orientation, age, physical or mental health, well-being, disability, religion, conscience, belief, culture, language and birth;

•       information relating to the education or the medical, financial, criminal or employment history of the person;

•       any identifying number, symbol, email address, physical address, telephone number, location information, online identifier or other particular assignment to the person, including biometric information;

•       the personal opinions, views or preferences of the person; correspondence of a private or confidential nature; and

•       the views or opinions of another individual about the person, or the name of the person where its disclosure would reveal information about the person.

1.9 Personal Requester

A requester seeking access to a record containing personal information about the requester.

1.10 POPIA

The Protection of Personal Information Act 4 of 2013, as amended from time to time.

1.11 Private Body

A natural person who carries or has carried on any trade, business or profession, a partnership, or any former or existing juristic person, but excludes a public body.

1.12 Processing

Any operation or activity, whether or not by automatic means, concerning personal information, including collection, receipt, recording, organisation, storage, updating, retrieval, use, dissemination, merging, linking, restriction, erasure or destruction of information.

1.13 Public Body

Any department of state or administration in the national or provincial sphere of government, any municipality, or any functionary or institution exercising a public power or performing a public function in terms of legislation.

1.14 Requester

In relation to a private body, means any person, including a public body or an official thereof, making a request for access to a record of the organisation, or a person acting on behalf of such person.

1.15 Request for Access

A request for access to a record of the organisation in terms of section 50 of PAIA.

1.16 Record

Any recorded information regardless of form or medium, in the possession or under the control of the organisation, irrespective of whether or not it was created by the organisation.

1.17 Third Party

In relation to a request for access to a record, means any person other than the requester.

2. MANUAL PURPOSE

The Promotion of Access to Information Act 2000 gives effect to section 32 of the Constitution, which provides that everyone has the right to access information held by the State or any other person where that information is required for the exercise or protection of any rights.

 

The purpose of PAIA is to:

•       foster a culture of transparency and accountability in public and private bodies by giving effect to the right of access to information; and

•       actively promote a society in which the people of South Africa have effective access to information to enable them to exercise and protect all of their rights more fully.

 

Omnia Escrow recognises everyone’s right to access to information and is committed to providing access to the organisation’s records where the proper procedural requirements set out by PAIA and POPIA have been met.

 

This manual is compiled in accordance with section 51 of PAIA and contains the following provisions:

 

Annexure A	Contact details and business type of the organisation.
Annexure B	Description of the Section 10 PAIA Guide and how to obtain access to it.
Annexure C	Statutory records maintained by the organisation.
Annexure D	Categories of records held by the organisation, their availability status, the purpose of processing and the relevant data subject category.
Annexure E	Procedure for requesting access to a record.
Annexure F	Prescribed fees payable in respect of access requests.
Annexure G	Processing of personal information.
Annexure H	Outcome of request and fees payable.
Annexure I	Deputy Information Officer appointment.

3. DUTIES OF THE INFORMATION OFFICER

The Information Officer and/or the Deputy Information Officer are responsible for:

•       publishing and proper communication of this manual;

•       facilitating any request for access;

•       providing adequate notice and feedback to the requester;

•       determining whether to grant access to a complete record or only part of a record;

•       ensuring that access to a record, where granted, is provided timeously and in the correct format; and

•       reviewing the manual for accuracy and communicating any amendments.

3.1 Right of Access

The Information Officer and/or Deputy Information Officer may only provide access to any record held by the organisation to a requester if:

•       the record is required for the exercise or protection of any right;

•       the requester complies with the procedural requirements in PAIA relating to a request for access to that record; and

•       access to that record is not refused on a ground of refusal contemplated in PAIA.

3.2 Grounds for Refusal

The Information Officer may refuse a request for access if the record contains information that:

•       would unreasonably disclose personal information about a third party, including a deceased person, unless that person consents or the disclosure is in the public interest;

•       was supplied in confidence by a third party, and the disclosure of which could reasonably be expected to prejudice that third party or to create a material financial loss;

•       would reveal trade secrets or financial, commercial, scientific or technical information of commercial value;

•       is protected by legal professional privilege;

•       is subject to confidentiality in terms of any agreement;

•       would endanger the life or physical safety of an individual;

•       would prejudice the security of a building, structure or system;

•       would prejudice the protection of a person in accordance with a witness protection scheme;

•       is clearly frivolous or vexatious, or the request is made in bad faith.

 

In the event that access to a record is refused, the requester may lodge an internal appeal or a complaint to the Information Regulator, or apply to court for relief.

4. NOTICE

The Information Officer will notify the requester in writing of the outcome of the request. Notification will be provided within 30 days of receipt of a valid request, or within the extended period permitted under PAIA.

4.1 Fee Payable

A request fee of R140.00 must be paid before the request will be processed. The requester will be notified of any additional access fee payable, depending on the form of access requested and the time required to search for and prepare the record. Records may be withheld until all fees have been paid.

4.2 Granted Request for Access

If the request is granted, the requester will be notified of the access fee payable (if any) and the manner in which access will be given. The record will be released only once proof of full payment is received.

4.3 Refused Request for Access

If the request is refused, the requester will be notified in writing of the grounds for refusal and of the remedies available, including the right to lodge an internal appeal or a complaint with the Information Regulator.

4.4 Undiscoverable Record

If the record cannot be found or does not exist, the Information Officer will notify the requester accordingly. Such notification will constitute a refusal of the request and the requester may pursue the available remedies under PAIA.

5. AVAILABILITY OF THE MANUAL

This manual is available:

•       on the Omnia Escrow website at www.omniaescrow.com;

•       at the principal place of business during normal business hours: 8th Floor, Firestation Rosebank, 16 Baker Street, Rosebank, Johannesburg, 2196;

•       upon request to the Information Officer at info@omniaescrow.com or +27 10 599 5959; and

•       at the offices of the Information Regulator.

 

Omnia Escrow will provide a copy of the manual to any person upon request and upon payment of a reasonable amount.

ANNEXURE A: CONTACT DETAILS AND BUSINESS TYPE

 

Head of the Organisation / Information Officer
Full Name	Louis Christian Pfeiffer	Capacity	Director / Information Officer
Postal Address	8th Floor, Firestation Rosebank, 16 Baker Street, Rosebank, Johannesburg, 2196	Street Address	8th Floor, Firestation Rosebank, 16 Baker Street, Rosebank, Johannesburg, 2196
Telephone	+27 10 599 5959	Email Address	info@omniaescrow.com
Website	www.omniaescrow.com

 

Deputy Information Officer
Full Name	Juane van Dyk	Capacity	Director / Deputy Information Officer
Postal Address	8th Floor, Firestation Rosebank, 16 Baker Street, Rosebank, Johannesburg, 2196	Street Address	8th Floor, Firestation Rosebank, 16 Baker Street, Rosebank, Johannesburg, 2196
Telephone	+27 10 599 5959	Email Address	info@omniaescrow.com

 

Organisation Details
Legal Name	Omnia Escrow (Juristic Representative of RockWealth Capital (Pty) Ltd)
FSP Licence No.	47128
Regulatory Authority	Financial Sector Conduct Authority (FSCA)
Nature of Business	Escrow administration and structured transaction services. Omnia Escrow operates as a juristic representative of RockWealth Capital (Pty) Ltd, an authorised financial services provider. It does not accept deposits and does not operate as a bank. It functions as a structured administrative layer governing transaction execution.
Sector(s)	Financial Services; Escrow Administration; Aviation Transaction Services; Cross-Border Trade

 

Head Signature
Date

ANNEXURE B: SECTION 10 PAIA GUIDE

The South African Human Rights Commission has published a guide as contemplated in section 10 of PAIA for persons who wish to exercise any right contemplated in PAIA and POPIA. The guide contains a description of:

•       the objects of PAIA and POPIA;

•       the postal and street address, phone and fax number and, if available, the electronic mail address of the Information Officer of every public body and, where reasonably possible, of every private body;

•       the manner and form of a request for access to a record of a public body or private body;

•       the assistance available from the South African Human Rights Commission in respect of a request for access to a record of a public body or private body;

•       the assistance available from the Information Officer of a public body in respect of a request for access to a record of that body;

•       all remedies in law available regarding an act or failure to act in respect of a right or duty conferred or imposed by PAIA and POPIA, including the manner of lodging an internal appeal, a complaint to the Regulator, and an application to court;

•       the provisions of sections 14 and 51 requiring a public body and private body respectively to compile a manual, and how to obtain access to a manual;

•       the provisions of sections 15 and 52 providing for the voluntary disclosure of categories of records;

•       the notices issued in terms of sections 22 and 54 regarding fees; and

•       the regulations made in terms of section 92.

 

The guide may be inspected or copied during normal working hours at the offices of the Information Regulator or any public or private body. The guide can also be obtained upon request to the Information Officer or from the website of the Information Regulator at https://www.justice.gov.za/inforeg/.

 

PAIA grants a requester access to records of a private body if the record is required for the exercise or protection of any rights. Where a public body lodges a request, the public body must be acting in the public interest. Requests shall be made in accordance with the prescribed procedures at the rates provided.

ANNEXURE C: STATUTORY RECORDS

The organisation maintains statutory records and information in terms of the following legislation:

 

Legislation	Applicability
Basic Conditions of Employment Act	Employment obligations
Companies Act	Corporate governance and statutory records
Consumer Protection Act	Client-facing obligations
Copyright Act	Intellectual property records
Electronic Communications and Transactions Act	Digital records and communications
Employment Equity Act	Employment equity obligations
Financial Advisory and Intermediary Services Act (FAIS)	Primary regulatory framework (FSP 47128)
Financial Intelligence Centre Act (FICA)	AML, KYC and source-of-funds obligations
Financial Institutions (Protection of Funds) Act	Client funds and custody obligations
Income Tax Act	Tax records and filings
Labour Relations Act	Employment and dispute records
Prevention of Organised Crime Act	Proceeds of crime obligations
Prevention and Combating of Corrupt Activities Act	Anti-corruption obligations
Promotion of Access to Information Act (PAIA)	This manual and access to information
Protection of Constitutional Democracy against Terrorist and Related Activities Act	Counter-terrorism obligations
Skills Development Act	Training and development records
Unemployment Insurance Act	UIF contributions and records
Value Added Tax Act	VAT records and filings

 

Head Signature
Date

ANNEXURE D: AVAILABILITY OF RECORDS

The organisation maintains the following categories of records. The availability status, purpose of processing and relevant data subject category are set out below. Records marked as “Freely Available” may be accessed by contacting the Deputy Information Officer. Records marked as “PAIA Request” require a formal request in terms of Annexure E.

 

Category	Record	Availability	Purpose	Data Subject
Public Affairs	Website content and public product information	Freely Available	Convey public information	Organisation
	FSP licence and regulatory disclosures	Freely Available	Statutory requirement	Organisation
	PAIA Manual	Freely Available	Statutory requirement	Organisation
Regulatory and Administrative	FSP licence and FSCA correspondence	Freely Available	Statutory requirement	Organisation
	Conflict of interest management policy	Freely Available	Statutory requirement	Organisation
	Complaints policy	Freely Available	Statutory requirement	Organisation
	FICA internal rules	PAIA Request	Statutory requirement	Organisation
	Memorandum of incorporation	PAIA Request	Statutory requirement	Organisation
	Internal correspondence (emails/memos)	PAIA Request	Internal communications	Employees
Escrow and Transaction	Escrow agreements	PAIA Request	Contractual obligation	Customers/Clients
	Certificates of release	PAIA Request	Transaction record	Customers/Clients
	KYC and AML compliance records	PAIA Request	Statutory requirement	Customers/Clients
	Transaction audit trails	PAIA Request	Transaction record	Customers/Clients
	Client correspondence	PAIA Request	External communications	Customers/Clients
Human Resources	Employment contracts	PAIA Request	Contractual agreement	Employees
	Personal information of employees	PAIA Request	Internal referencing	Employees
	Salary records	PAIA Request	Internal referencing	Employees
	PAYE records	PAIA Request	Statutory requirement	Employees
Financial	Financial statements	PAIA Request	Internal referencing	Organisation
	Financial and tax records	PAIA Request	Statutory requirement	Organisation
	Banking records and statements	PAIA Request	Internal referencing	Organisation
	Management accounts and reports	PAIA Request	Internal referencing	Organisation
Third Party	Non-disclosure agreements	PAIA Request	Risk management	Third Party
	Supplier contracts	PAIA Request	Contractual agreement	Third Party
	Referral agreements (including Omnia Aerospace Consulting)	PAIA Request	Contractual agreement	Third Party

 

Head Signature
Date

ANNEXURE E: REQUEST FOR ACCESS TO RECORD

NOTE:

•       Proof of identity must be attached by the requester.

•       If the request is made on behalf of another person, proof of such authorisation must be attached.

 

TO: The Information Officer

 

Omnia Escrow, 8th Floor, Firestation Rosebank, 16 Baker Street, Rosebank, Johannesburg, 2196

Email: info@omniaescrow.com    |    Tel: +27 10 599 5959

 

Personal Information of Requester

Full Names
Identity Number
Capacity (if on behalf of another)
Postal Address
Street Address
Email Address
Telephone
Full Names of Person on Whose Behalf Request is Made (if applicable)
Identity Number

 

Particulars of Record Requested

Description of Record
Reference Number (if known)
Any Further Particulars

 

Type of Record

Record is in written or printed form
Record comprises virtual images (photographs, video recordings, computer-generated images, sketches, etc)
Record consists of recorded words or information which can be reproduced in sound
Record is held on a computer or in electronic or machine-readable form

 

Form of Access Requested

Printed copy of record
Written or printed transcription of visual images
Copy of record on flash drive
Copy of record saved on cloud storage server
Email of information
Personal inspection at registered address

 

Right to be Exercised or Protected

Indicate which right is to be exercised or protected
Explain why the record is required for the exercise or protection of this right

 

Fees

A request fee of R140.00 must be paid before the request will be processed. If you qualify for exemption from payment of any fee, please state the reason below.

Reason for Fee Exemption (if applicable)

 

Signed at ________________________ this _______ day of ______________ 20 ____

 

_________________________________

Signature of Requester / Person on Whose Behalf Request is Made

 

For Official Use

Reference Number
Request Received By (Name and Surname of Information Officer)
Date Received
Access Fees
Deposit (if any)

 

_________________________________

Signature of Information Officer

ANNEXURE F: PRESCRIBED FEES

The following applies to requests (other than personal requests):

•       A requester is required to pay a preliminary request fee before a request will be processed.

•       If preparation of the record requires more than six hours, an additional deposit shall be paid of not more than one third of the access fee which would be payable if the request were granted.

•       A requester may lodge an application with a court against the payment of the request fee and/or deposit.

•       Records may be withheld until all fees have been paid.

 

No.	Description	Fee
1.	Request fee payable by every requester	R140.00
2.	Photocopy/printed black and white copy of A4-size page	R2.00 per page
3.	Printed copy of an A4-size page	R2.00 per page
4.	Copy in computer-readable form on flash drive (to be provided by requester)	R40.00
	Copy in computer-readable form on compact disc – if provided by requester	R40.00
	Copy in computer-readable form on compact disc – if provided to the requester	R60.00
5.	Transcription of visual images per A4-size page	Service to be outsourced. Fee will depend on service provider quotation.
6.	Transcription of an audio record, per A4-size page	R24.00
7.	Copy of an audio record on flash drive (to be provided by requester)	R40.00
	Copy of an audio record on compact disc – if provided by requester	R40.00
	Copy of an audio record on compact disc – if provided to the requester	R60.00
8.	Search and preparation of the record for disclosure, for each hour or part of an hour (excluding the first hour), not to exceed a total cost of	R145.00 per hour / R435.00 maximum
9.	Deposit: if search exceeds six hours	One third of the amount per request in terms of items 2–8 above
10.	Postage, email or any other electronic transfer	Actual expense, if any

ANNEXURE G: PROCESSING OF PERSONAL INFORMATION

 

Head Signature
Date

 

Purpose of Processing Personal Information

Omnia Escrow processes personal information primarily for the following purposes:

•       conducting full FICA/AML compliance screening on all transaction parties, including KYC verification, PEP and sanctions checks, and source-of-funds validation, as required under the Financial Intelligence Centre Act;

•       administering escrow agreements and managing the structured transfer of funds, documentation and title;

•       maintaining audit trails, transaction records and compliance documentation in accordance with FAIS and FICA requirements;

•       SARB regulatory reporting for all cross-border transactions; and

•       managing employment relationships and operational requirements of the organisation.

Categories of Data Subjects and Personal Information Processed

Categories of Data Subjects	Personal Information That May Be Processed
Customers/Clients	Full name, identity or registration number, address, email address, telephone number, employment status, bank details, source-of-funds documentation, beneficial ownership information.
Transaction Counterparties	Full name, identity or registration number, address, contact details, bank details, beneficial ownership information.
Service Providers and Third Parties	Name, registration number, VAT number, address, bank details, contractual information.
Employees	Name, address, identity number, qualifications, employment history, salary, tax information, gender.

Recipients of Personal Information

Category of Personal Information	Recipients or Categories of Recipients
Identity and compliance information	RockWealth Capital (Pty) Ltd (as licensed principal performing all compliance functions)
Identity and compliance information	Investec Bank and/or Capitec Bank (for custody account and disbursement purposes)
AML/sanctions screening data	Relevant screening and compliance platforms
Cross-border transaction data	South African Reserve Bank (SARB) for exchange control reporting
Tax and employment information	South African Revenue Service (SARS) and relevant statutory bodies

Transborder Flows of Personal Information

As Omnia Escrow administers cross-border transactions across multiple jurisdictions, personal information of transaction parties may be transferred to or accessed from jurisdictions outside South Africa in the course of processing a transaction. All such transfers are conducted in accordance with POPIA and applicable SARB exchange control requirements. Where possible, personal information is held in cloud storage within South Africa. Any cross-border storage is conducted within secure, compliant environments.

Information Security Measures

Omnia Escrow, through RockWealth Capital (Pty) Ltd, implements the following security measures to protect the confidentiality, integrity and availability of personal information:

•       data encryption for records held in electronic form;

•       secure, ring-fenced banking accounts at Investec Bank and Capitec Bank, segregated from operational capital;

•       dual-verification protocols for all fund release instructions, designed to prevent Business Email Compromise (BEC) fraud;

•       access controls restricting system access to authorised personnel only;

•       anti-virus and anti-malware solutions on all operational systems; and

•       regular review and audit of security procedures.

ANNEXURE H: OUTCOME OF REQUEST AND FEES PAYABLE

NOTE:

•       If your request is granted, the amount of the deposit (if any) is payable before your request is processed, and the record will only be released once proof of full payment is received.

•       Please use the reference number below in all future correspondence.

 

Reference Number
Your request dated

 

Your request has been:

 

	APPROVED
	DENIED, for the following reasons:

 

Fees Payable

Item	Cost per A4 page or part thereof/item	Number of pages/items	Total
Photocopy	R2.00
Printed copy	R2.00
Flash drive (provided by requester)	R40.00
Compact disc (provided by requester)	R40.00
Compact disc (provided to requester)	R60.00
Transcription of audio record, per A4-size page	R24.00
Postage, email or electronic transfer	Actual costs
TOTAL

 

Deposit payable (if search exceeds six hours):

Yes	No	Hours of Search	Amount of Deposit (one third of total)

 

The amount must be paid into the following bank account:

Name of Bank
Name of Account Holder
Type of Account
Account Number
Branch Code
Reference Number
Submit Proof of Payment to	info@omniaescrow.com

 

Signed at ________________________ this _______ day of ______________ 20 ____

 

_________________________________

Information Officer

 

Head Signature
Date

ANNEXURE I: DEPUTY INFORMATION OFFICER APPOINTMENT

In terms of the Protection of Personal Information Act, the head of a private body is the designated Information Officer for that private body. The Information Officer may delegate any power or duty conferred or imposed in terms of POPIA to the Deputy Information Officer.

 

The organisation has appointed a Deputy Information Officer to facilitate any requests to access records held by the organisation. This delegation does not prohibit the Information Officer from exercising any power or performing any duty personally. The delegation may be withdrawn or amended in writing at any time.

 

The Deputy Information Officer need not hold any specific qualifications but must have thorough knowledge of the organisation’s functional departments and business processes. The Deputy Information Officer has authority to approach all staff members and to request all records held by the organisation. Where a manager is of the opinion that access to a record should not be granted to the Deputy Information Officer, reasons shall be given to the Information Officer, who will make a final decision.

 

Together with the Information Officer, the Deputy Information Officer is responsible for:

•       publishing and proper communication of this manual;

•       facilitating any request for access;

•       providing adequate notice and feedback to the requester;

•       determining whether to grant access to a complete record or only part of a record;

•       ensuring that access to a record, where granted, is provided timeously and in the correct format; and

•       reviewing the manual for accuracy and communicating any amendments.

 

 

As the Head of the Organisation, I Louis Christian Pfeiffer hereby appoint Juane van Dyk as the Organisation’s Deputy Information Officer.

 

 

Head Signature	Date
Deputy Information Officer Signature	Date