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PERSONAL INFORMATION
Surname
First Names
ID Number
Sex
Marital Status
Driver’s License
Nationality
Home Language
Other Languages
Criminal Offences
Health
Percival
Ashley Aldrin
7309295011082
Male
Married
Yes
South African
English
Afrikaans
None
Very good
CONTACT INFORMATION
Postal Address P.O. Box 5074
Horizon
1730
Work
Cellular
+27 (0)11 673 0075
+27 (0)82 462 6696
E-Mail Address ashley@glenfinadvice.co.za
EDUCATIONAL QUALIFICATIONS
Last School Attended
Highest Standard Passed
Year
Extramural Activities
Hoërskool Die Burger
Matric
1991
Rugby and Cricket
TERTIARY EDUCATION AND SKILLS DEVELOPMENT
Institution Attended
Qualifications Obtained
Year
Major Subjects Passed
University of the Free State
Advanced Post Graduate Diploma in Financial Planning
2010
Asset Types and Investment Instruments
Principles of Portfolio Planning& Management
Curriculum Vitae of Mr Ashley Percival
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Institution Attended
Qualifications Obtained
Year
Major Subjects Passed
Institution Attended
Qualifications Obtained
Year
Major Subjects Passed
Institution Attended
Qualifications Obtained
Year
Major Subjects Passed
University of the Witwatersrand
LLM
2004
Taxation Law
University of the Free State
Post Graduate Diploma in Financial Planning (CFP®)
2002
Financial PlanningEnvironment
Personal Financial Planning
Corporate Financial Planning
University of South Africa
B-Juris & LLB
2000 - 2001
PrivateLaw 1 (Law of persons and family law)
PrivateLaw 2 (Law of succession and Lawof things)
PrivateLaw 3 (Law of contracts and Law of delict)
TRAINING COURSES ATTENDED
Ombud Training Course, 2008
Taxation Criminal Investigation Program, 2005
Attorneys Admission Exam, Admitted as Advocate of the High Court, 2001
Certified Financial Planner (CFP®)
Master Tax Practitioner (SA)™
Practical Legal Training (School for Legal Practice), 2001
Basic Intensive Training in Trial Advocacy, 2001
Detective Course, 1998
EMPLOYMENT HISTORY
Date
Company Name
Area
Type of Company
Current Position
February 2016 to present
GlenFin™ Financial Services
West Rand
Financial Services Provider
Owner
GlenFin's financial planning approach is to help you make the most of your
financial resourcesby setting realistic goalsand findinga way to reach them. We
will conducta detailed review of your personal and financial circumstances so that
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Date
Company Name
City
Type of Company
Current Position
Main Job Functions
Date
Company Name
City
Type of Company
Position
Main Job Functions
we may identify potential problems and opportunities. We assist you in making
difficult decisions and help you to avoid costly mistakes by ensuring that you are
fully informed about all possiblechoices.
GlenFin's holistic, integrated approach prevents the oversights that may arise
from piecemeal advice. Once we have completed an overview of your situation we
directour attention to specific financial planningareas,which include:
-Investment Planning(wealth creation and wealth preservation)
-Retirement Planning(preand post retirement)
-Risk Planning(LongTerm Insurance - death, disability etc.)
-Risk Planning(ShortTerm Insurance - personal or commercial)
-Employee Benefits Planning(retirement and group risk benefits)
-Succession planning(wills and estates)
-Tax planning(aligningfinancial goals with tax efficientplanning)
July 2015 – December 2015
Old Mutual
Roodepoort
Financial Services Provider
Personal Financial Advisor
Financial planning
Retirement planning
Wealth management
Risk planning
October 2012 – June 2015
Ombud for Financial Services Providers(FAIS Ombud)
Pretoria
Financial Regulation
Assistant Ombud
Resolvingdisputesbetween financial servicesprovidersand theirclients
Draftingof determinationsand responsesto leaveto appeal
Member of ExecutiveCommittee(EXCO)
Providingstrategic inputinto thedevelopmentof theFAIS Ombud’sstrategic
plan
Providingstrategic inputinto themanagementof all areasof operations
Overseeing theCaseAdministration and CaseManagementfunctions at the
Office(approximately 40staffmembers)
Providing specialist legal expertise to Case Management division in
complicated matters
Providingtrainingto newrecruits and graduatetrainees
Liaisingwithexternal partiesincludingtheindustry and governmententities
Delivering presentations to the financial services industry and other
stakeholdersaboutthework of theFAIS Ombud
RepresentingtheOfficeatinternational Ombud conferences
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Date
Company Name
City
Type of Company
Position
Main Job Functions
October 2007 – September 2012
Ombud for Financial Services Providers(FAIS Ombud)
Pretoria
Financial Regulation
Case Manager to March 2010/Team Resolution Manager to October 2012
Investigation of complaintsagainst financial serviceproviders
Obtaining of relevant information, submissions, arguments and other
documents fromcomplainantsand respondents
Mediatebetween complainantsandfinancial serviceproviders.
Assistcomplainantswith progressreports
Educatecomplainantsabouttheroleof theOmbudsman forFinancial Service
Providers
Conduct research – study SA and foreign case law, articles, previous
determinationsand other legislation
Draftdeterminationsbased on directionsgiven by theOmbud
Draftsettlementrecommendationsaswell asdismissal notices
Draft additional submissions where required to explain the reasons for
conclusionsreached
Structuringof legal arguments
Interviewingof Complainantsto ensurethecorrectinformation isobtained to
aptly pursuethecomplaint
Leading and facilitating interaction between team members in respect of
problemcases,draftingof correspondence,caseconcepts and logframes
Discussionaround reasonsforcaseclosures;Identification of cases to be
escalated to determinationstage
Recordingof minutesfor teammeetings
Auditingof casesof teammembers
Preparation of weekly status reports on team and each team member’s
progressprovidinga quantitativeandqualitativeoverviewof progress
Mediation in intraand inter teamdisputes
Coordinatingworkingrelationshipbetween casemanagementteamand case
administration department
Handlingof queries,complaintsand other feedbackfromstakeholders
Identifyingtrainingneeds of teammembers
Consultation with andreportingto Ombud and/orDeputy Ombudregarding
non-performance
Coordination of meetingsof each team
Chairingof technical teammeetings
Member of ExecutiveCommittee(EXCO)
Providingstrategic inputinto thedevelopmentof theFAIS Ombud’sstrategic
plan
Providingstrategic inputinto themanagementof all areasof operations
OverseeingtheCaseAdministration function
Providing specialist legal expertise to Case Management division in
complicated matters
Providingtrainingto newrecruits
Liaisingwithexternal partiesincludingtheindustry and governmententities
Delivering presentations to the financial services industry and other
stakeholdersaboutthework of theFAIS Ombud
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RepresentingtheOfficeatinternational Ombud conferences
Date
Company Name
City
Type of Company
Position
Main Job Functions
January 2004 – September 2007
South African Revenue Services
Johannesburg
Treasury
Specialist Investigator (Forensic Auditor)
The mandate of the Criminal Investigations Department is to investigate
instances of serious non-compliancewith the legislation administered by
the Commissioner and to prosecute those responsible for the non-
compliance(e.g. fraud and theft cases).
My position required the collection, inspection and auditing of relevant
records and documents (books of account) of taxpayers, which may
constitute evidence of non-compliance and or the commission of any
offences.
Specialist investigators have to lead their own investigations as well as
cases being investigated by a team of investigators. Specialist
investigators must also assist junior staff with complex cases and guide
them through the whole investigation process (i.e. from the start of the
investigation, the preliminary investigation and the prosecution of the
accused).
When mandated, the investigation of internal cases (against staff
members). This will include the procurement of evidence and giving
evidence in disciplinary, criminal and civil trials. Offences investigated
includefraud,theft, forgery and corruption.
My duties included assisting colleagues with legal opinions, the drafting
of statements and letters, conducting Entry, Search and Seizure
operations, the interviewing of suspects, the drafting of charge sheets
and the training of new members as well as members of other
departments.
I was further responsible for the drafting of reports and motivations to
management, raising assessments to tax and or initiating criminal
proceedings, where appropriate (based on forensic analyses) and
assisting various departments in SARS with Tax Base Broadening
initiativesinsuringcompliancewith the various Tax Acts.
Date
Company Name
City
Type of Company
Position
Main Job Functions
July 1992 – December 2003
South African PoliceServices
Johannesburg
Safety and Security
Legal Officer (Rank of Inspector)
My position required the rendering of legal advice to management and
members of the South African PoliceService.
My responsibilities included thedraftingof legal opinions,liaison with the
State Attorney, Counsel and other legal representatives, liaison with the
Department of Justice, handling of civil claims for and against the SAPS
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and the preparation of witness statements.
I was required to make recommendations regarding departmental
procedures against members and to attend pre-trial consultations with
State Attorney and Counsel and instructingthem.
My duties included attending inspections in loco, assisting the Area
Commissioner with his day to day functions,draftingof contracts entered
into by the South African Police Service, negotiating settlement
agreements on behalf of the Minister for Safety and Security, interpreting
of contracts and legislation and ensuringcompliancewith all l egi slati on
by the South African PoliceService.
MOTIVATION
I am well qualified in the legal and financial advisory fieldsand I havegained very good legal,financi al and
leadership experience during my career. I maintain a very good balance between detail, quality and the
bigger picture. Together with a strong work ethic, values and integrity, I can offer any prospective client or
organization my experience and knowledge that will exceed expectations.
REFERENCES
Name of Reference On request
