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Client name. A range of services, whatever your financial needs. Stockbroking advice services Wealth management Bespoke portfolio management Tax-efficient investments Offshore investment SPI Strategic Investment Grade Bond Fund Trust and charity solutions Ethical portfolios

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Client name

Client name


A range of services whatever your financial needs

A range of services, whatever your financial needs

  • Stockbroking advice services

  • Wealth management

  • Bespoke portfolio management

  • Tax-efficient investments

  • Offshore investment

  • SPI Strategic Investment Grade Bond Fund

  • Trust and charity solutions

  • Ethical portfolios

  • Administration services


Summary of our services

Summary of our services...

  • Advisory dealing service

  • Advisory managed service

  • Cash equities

  • Contracts for difference and spread betting

  • Shorter-term trading opportunities

  • Execution only service

  • Regular contact with clients

  • Bespoke advisory investment portfolio

  • SPI Direct

  • Personal relationship with broker

  • Service based on our in-house asset allocation

  • Best execution of client orders

  • Latest market information

  • Designated point of contact


Our team

Our team

  • Brent SmithHead ofStockbroking

  • Andrew Lewis Senior Stockbroker

  • Chris Taylor

  • Advisory

  • Stockbroker

  • Dean Sherrin

  • Advisory Stockbroker

  • Stuart Rosling

  • Advisory Portfolio Manager

  • Katrina Tabor

  • Junior Stockbroker

Brent has over 20 years‘ experience within the stockbroking industry, having started his career as a sales and arbitrage trader in South Africa. In early 2000 he joined Sanlam Capital Markets as Head of Stockbroking and has recently joined the UK stockbroking desk in the same capacity. Brent is very familiar with the UK market and is a member of the Johannesburg Stock Exchange.

Andrew has 12 years’ industry experience and is a member of the chartered institute for securities and investments and has the investment advice diploma. Andrew has a degree in agriculture and prior to joining the city he worked in this industry.

Chris has over 26 years‘ experience within the investment industry. Chris began his career at Citibank before moving to Merchant Securities (now SPI). Chris is a Member of the Chartered Institute for Securities and Investment and has the Investment Advice Diploma, he also has a degree in Fine Arts from Manchester University.

Dean has over 15 years’ investment experience, much of which has been spent in the equities arena. Previously, he has worked at industry stalwarts such as Gerrard (now Barclays Wealth), Newton Investment Management followed by recent experiences within derivative trading at CMC markets and TJ Markets. Dean is a Chartered Member of the institute for Securities and Investment. He was awarded a merit in the Private Client Investment Advice and Management exam.

Stuart has over 14 years’ of industry experience, much of which has been spent in the advisory stockbroking industry. Previously he has worked at HB Markets, Merrill Lynch Investment Managers, Barings and most recently at Killik & Co Stockbrokers. Stuart is a member of the Institute for Securities and Investment. He has a degree in Economics and has gained a diploma in the Private Client Investment Advice and Management exam.

Katrina started her career at Merchant Securities in June 2012. Prior to joining, she worked as an intern at Charles Stanley gaining experience across a multitude of functions including trading, stock broking and research. Katrina has recently gained the Investment Advice Diploma after graduating from University with a first class honours degree in 2012 and is an Associate of the Chartered Institute for Securities and Investment.


Advisory managed

Advisory managed


What is advisory managed

What is advisory managed?

“Access to a dedicated portfolio manager to collaborate on the

ongoing management of a diversified and tailored portfolio”

  • For clients who have a longer term approach to the market but wish to have an input into creating their portfolio

  • We manage the day to day performance of the portfolio to enable the client piece of mind over their investments

  • Portfolio is actively managed to keep clients investment needs in line with risk profile and the market

  • Portfolio is based on in house asset allocation with external research included


Advisory managed fee schedule

Advisory managed – fee schedule

PORTFOLIO MANAGEMENT FEE: 1% per annum +VAT

CUSTODIAN FEE: 0.15% per annum (max £500 per quarter)

DEALING CHARGES:

Gilts

All other investments

1% on first £10,000

0.25% on next £90,000

0.10% on remainder

1% on first £10,000

0.60% on remainder


Why use our advisory managed service

Why use our advisory managed service?

  • Access to a dedicated portfolio manager to collaborate on the on-going management of a diversified and tailored investment portfolio

  • Delegate the day-to-day management of the whole or part of your portfolio, to obtain peace of mind

  • Active portfolio management to ensure your portfolio is constantly managed over time to meet your investment needs in line with your risk profile

  • For clients who have longer-term, strategic aspirations for the management of their wealth and want the stewardship of a professional whilst having the final say before the execution of any investment or strategy


Initial service

Initial service

Fact find

Initial/finalproposal

Clientagreement

Final proposal

Sign up

Client agreementletter

Agreement

Implementationof portfolio

On-goingmanagement/service


Our investment approach

Our investment approach

Portfolio construction

  • Asset allocation will be the foundation of your portfolio

  • Each asset class is populated with investments – direct equities, collectives and/or fixed income

  • Portfolio tailored to match your investment views, risk tolerance and time horizon

  • Portfolio strategy discussed and agreed

Fund selection

Stock selection

RISKMANAGEMENT

Assetallocation


Working with sanlam private investments

Working with Sanlam Private Investments

  • ONGOING PORTFOLIO MANAGEMENT

  • 1. Portfolio review in line with your risk tolerance, objective and restrictions

  • 4. Agree trades, buying strategy and follow-up with paperwork where required

  • 3. Advise of rationale behind changes

  • 2. Research and monitor


Advisory dealing

Advisory dealing


What is advisory dealing

What is advisory dealing?

  • Clients recieve a one to one relationship with a dedicated broker

  • For clients who want freedom over the composition of their portfolio and wish to acviely trade in the market with the guidance of a professional

  • The client ultimately retains control over what goes into the portfolio

  • It is aimed at clients who are seasoned investors and know the market relatively well

“Short term trading portfolio or ideas aimed at taking advantage of mispricing in the market”


Advisory dealing fee schedule

Advisory Dealing – fee schedule

PORTFOLIO MANAGEMENT FEE: N/A

CUSTODIAN FEE: £200 per annum +VAT

DEALING CHARGES:

Gilts

All other investments

1% on first £10,000

0.25% on next £90,000

0.10% on remainder

1.65% on first £15,000

0.50% on remainder


Why use our advisory dealing service

Why use our advisory dealing service?

  • One-to-one personal relationship with a dedicated broker

  • Short-term trading portfolio or ideas aimed to beat the markets and take advantage of inefficiencies in global markets whilst aiming to maximise returns

  • Experienced team with over 35 years market experience

  • Professional order execution over a range of instruments


Execution only

Execution only


What is execution only

What is execution only?

  • Clients gain access to over 25,000 tradable instruments, including more illquid stocks that wouldn’t be traded online

  • Access to online valuations with a designated point of contract

  • Direct access to UK and overseas markets – Ideal for more illiquid shares

“For clients who do not want to be provided with any advice and simply want to execute trades in the market”


Execution only fee schedule

Execution only – fee schedule

ALL SECURITIES

MINIMUM FEE

1% on first £15,000

0.50% thereafter

UK securities: £35

Overseas Securities: £75

Administation charge: £25

Custodian Fee: £200 +VAT pa


Spi direct and advisory cfd trading

SPI Direct and advisory CFD trading

  • “State of the art online trading platform

  • offering spreadbetting, CFD and SIPP trading”

  • Currently on an execution only basis but will be moving towards an advisory

  • Allow traders to go long or short, leverage trades and hedge existing positions at a low cost

  • State of the art technology to trade from including phone apps and tablet capabilities

  • Flexibility for clients to invest directly

  • Can be used for tax benefits

  • Individual or corporate accounts

  • Stop losses are used to prevent large losses in the portfolio


About us

About us


Our values

Our values

As part of the wider Sanlam Group, we're committed to acting with integrity, accountability and respect in everything we do and strive for. Our values at Sanlam Private Investments are passion| innovation| transparency| trust.

  • These values don’t just hang on our office wall: they determine how we live our working lives. They teach us to think on our feet. They make us challenge ourselves, the conventions of the industry, and the expected. They make us leaders – a benchmark for others to follow. Our values help us to become the kind of people you want to do business with.


Sanlam s specialism

Sanlam’s specialism

  • Our expertise in investments can help you:

MAINTAIN YOUR WEALTH

PROVIDE AN INCOME


Regular investment updates

Regular investment updates


Valuations available daily online

Valuations available daily online


Recommendations

Recommendations


Sanlam private investments

Sanlam Private Investments

  • Significant experience

  • Significant resources

    • approximately 180 employees: 42 investment managers*

    • AUM of £2.1bn*

  • Significant backing

    • part of the Sanlam Group, a leading global financial services business

    • strong balance sheet

    • good profitability

*as of April 2013


Sanlam private investments1

Sanlam Private Investments

  • Trusted by our clients

    • 57%* of our clients have been with us for over five years

    • 38%* have been with us for over ten years

    • investment expertise

    • jargon free literature

  • Friendly, approachable staff

    • client suitability of investment decisions is at the heart of what we do

    • specialist in tailored solutions

    • strong track record of asset allocation

  • Strong administration

    • in-house, not outsourced

*as of 30.06.2012


Summary of our services1

Summary of our services

  • Range of services to suit your financial needs

  • Portfolios tailored to your requirements and objectives

  • Trusted and stable business

  • Full nominee/custody service

  • Half yearly valuations and annual tax year report and CGT planning

  • Ongoing reviews and regular meetings

  • Online valuation service

  • Updated investment news and commentary at: www.spi.sanlam.co.uk


Important information

Important information

  • Investing involves risk. The value of investments, and the income from them, may fall as well as rise.Investors may not get back the original amount invested. Further information will be provided by Sanlam Private Investments.

  • The value of fixed interest securities is affected by the risk of default by the issuer and where an issuer does default you may lose some or all of your capital investments in higher yielding bonds issued by borrowers with lower credit ratings may result in a greater risk of default and have a negative impact on income and capital value.

  • The value of investments in overseas securities may rise and fall in sterling terms purely as a result of exchange rate fluctuations.

  • The Sanlam Group does not accept any liability for any claims, loss or damage, as a result of reliance placed on the information in this presentation, or in respect of the use of this presentation, in the form provided, or otherwise.

  • Issued by Sanlam Private Investments (UK) Ltd authorised and regulated by the Financial Serviced Authority.

  • Investments in smaller companies can be more volatile and less liquid than those in larger company shares.

  • Investments in emerging markets are likely to be more volatile and carry more risks than investments in developed markets.

  • Certain transactions, including those involving futures, options, contracts for difference (CFDs), spread betting and high yield securities, give rise to substantial risk and are not suitable for all investors.


Important information1

Important information

16 South Park, Sevenoaks, Kent, TN13 1AN 01732 740 700 (Registered office)

10 King William Street, London, EC4N 7TW020 7280 8700

5 Miles’s Buildings, George Street, Bath, BA1 2QS01225 460 010

Bank House, 55 Main Street, Kirkby Lonsdale, Cumbria, LA6 2AH015242 72941

High Point House, 7 Victoria Avenue, Harrogate, North Yorkshire, HG1 1EQ01423 701800

11 West Road, Ponteland, Newcastle upon Tyne, NE20 9SU01661 867 809

Wall Terrace, 44-46 Chapel Street, Marlow, Buckinghamshire, SL7 1DD01628 473298

www.spi.sanlam.co.uk


Thank you

Thank you


Spi s journey to date

Appendix 1

SPI’s journey to date

SPI launched in the UK on September 24, following the rebrand of the Principal Group. Craig Massey was announced as SPI UK’s CEO.

In November, Sanlam Private Investments Wealth Management launched in the UK following the rebrand of Merchant Securities Wealth Management.

Daniël Kriel, previously head of marketing for Sanlam Investments, and non-executive director of SPI since 2003, became CEO of SPI. “Daniel changed the look and feel of the business,” says Craig Massey. “Under his guidance we invested in better compliance, improved IT systems and dedicated marketing. He improved client interaction, introducing quarterly presentations, client functions and regular correspondence.”

SPI was formed under the brand Gensec Private Clients in South Africa.

SPI acquired Merrill Lynch Private Clients, formerly known as Smith Borkum Hare.

SPI celebrated its tenth birthday, and an impressive growth trajectory.

2010

1999

2001

2002

2003

2005

2006

2007

2008

2009

2011

2012

2013

SPI enhanced its offshore investment services with the acquisition of Merchant Securities in the UK and Summit Trust International in Geneva.

SPI acquired the South African private client business of Dutch bank ABN Amro, formerly known as HuysamerStals, one of the first Afrikaans brokerages on the JSE.

Johan van Zyl, former World Bank coordinator and University of Pretoria Vice-Chancellor and Principal, became CEO of Sanlam. Johan restructured the business and improved operational focus and delivery.

In the UK, SPI drove the acquisition of a majority interest in Principal Investment Holdings.

SPI formed a partnership with Pictet, one of Switzerland’s largest private banks, with assets under management of USD 390bn, over 3,000 employees around the world and a history of more than 200 years.

SPI entered a joint venture partnership in Australia, with wealth management business Calibre Investments. Calibre took SPI another step closer to a truly international wealth management capability.


Sanlam group

Appendix 1

Sanlam Group

  • Founded in 1918 in South Africa

  • The Group has business interests elsewhere in Africa, Australia, India, and Europe

  • Sanlam is a leading financial services group in South Africa, listed on the JSE and Namibian stock exchanges

  • The Group comprises a number of mutually dependent business entities focusing mainly, but not exclusively, on wealth creation and protection, investment management and ancillary financial services solutions for individuals and institutions


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