Tribe Mandate_JSE_2016.PDF

INITIAL HERECLIENT REGISTRATION FORM 1
CLIENT REGISTRATION PACK
• Please complete the attached client agreement in full.
• Initial each page in the bottom right corner. Any modification to the agreement should be signed in full.
• Page 8: Indicate your choice between Discretionary and Nondiscretionary and signed in full.
• Depending on our choice above please complete Annexure E/F.
• Annexure C includes the commission fees applicable.
• Please complete the Call Account Mandate. Your funds will be held in Standard Bank in a unique account.
FICA REQUIREMENTS
Please ensure the required documents are certified copies.
Identity
Natural Persons ID document
Income tax no.
Physical address
Copy of tax document
Eg. Water and lights account
Closed Corporations Registered name and no.
Registered address
Trading name
Business address
For each member
CK1
CK2
Letter head
Eg. Water and lights
As required for natural persons
Trust Registered name and no.
Registered address
Trading name
Business address
Trust Deeds
Trust Deeds
Letter head
Eg. Water and Lights account
Company Registered name no.
Registered address
Trading name
Business address
Shareholder and directors
CM1
CM22
Letter head
WEg. Water and Lights account
As required for natural persons or company
INITIAL HERE1

INITIAL HERECLIENT REGISTRATION FORM2
THE JSE SECURITIES EXCHANGE
CLIENT AGREEMENT AND REGISTRATION FORM
This documentation pack should consist of:
• Instructions to members
• Client Registration Form
• Client Agreement
• Annexures to Client Agreement:
A. Risk Disclosure Statement
B. Extract from the Financial Markets Control Act
C. Schedule of Fees
D. Investment objectives of Client
E. Banking Details
F. Discretionary Managed Portfolio
G. Non – Discretionary Managed Portfolio
H. Call Account Mandate
I. Agreement on Profit Share Allocation

INITIAL HERECLIENT REGISTRATION FORM 3INITIAL HERE
Members should ensure that they follow the steps set out below when registering a new client:
1. Explain the Client Agreement to your client and ensure that the client is aware that he is also bound by the rules.
2. Explain the risks of trading in futures and options to your client. The client must read and initial the Risk Disclosure Statement
(Annexure A).
3. Explain the implications of unsolicited calls to the client and let the client initial the extracts from the Financial Markets Control Act
(Annexure B).
4. Complete the following:
• your name as member and the client’s name on the Client Agreement title page;
• your appointment per clause 3; delete the non-applicable section;
• any additional margin as required in clause 7 - enter 0% if not applicable;
• your trading capacity as required by clause 8: indicate the choice.
• explain how you will charge fees and that a turn is not a fee; indicate appropriate choice in clause 12.3 and complete Annexure
C;
• the information as required in clause 14 read together with Annexure D - it is vital that the client’s investment objectives are clear
and concise - ensure the client understands what the maximum loss can be when implementing the particular strategy per his
objectives;
• signatures and details of both parties as required in clause 23.
5. Both you and your client must initial all of the above places where a choice, deletion or completion is required.
6. Initial every page, including all annexures, together with one witness.
7. Have your client initial every page, including all annexures, with one witness.
8. Retain the completed and signed originals in a safe place and provide the client with a copy.
9. Complete the Client Registration Form and fax it to the JSE. The client will then be registered by the Clearing House. Make sure
that both the compliance officer and the client sign the declarations on this form and ensure that the client understands what he is
signing.
10. It is very important to take note of clause 21, which states that no amendment to the agreement (including the Annexures) will
be of any force or effect unless reduced to writing and signed by both parties. This implies that in the case of any amendment
to Annexures C or D after conclusion of the agreement, the amendments should be set out in separate Annexures, properly
undersigned and dated by the member and the client as in the case of the agreement itself, and attached to this agreement as new
Annexures, replacing existing ones. For reference purposes, the member should retain the original Annexures, but indicate clearly
that these original Annexures have been amended and are therefore not in force.
INSTRUCTIONS TO MEMBERS:

EDM
IRC
Client to be registered to trade in
EDM IRC
Member Details:
Name Tribe Capital (Pty) Ltd
Contact Person
I, _____________________________________, the Compliance Officer of the member, hereby request the JSE to register the
following client in terms of rule 7.6.2.
Signed: (The Compliance Officer)
Date:
Client Details:
Name
Company/CC Registration No./Individual’s ID No.
Contact person (for Companies/CC’s)
Discretionary managed client (Y/N)
Resident Client Non-resident Client Emigrant Client
Postal Address Physical Address
Telephone No. Facsimile No.
Telex No. E-mail Address
VAT number
Tax number
I, , duly authorised signatory of the client, acknowledge that I
have read and signed the client agreement and the risk disclosure statement, that I will be bound by the rules of the JSE and that the
information I supplied is correct.
Signed
Client’s Signature Date
Benjamin Swanepoel

THE SOUTH AFRICAN FUTURES EXCHANGE
Client AGREEMENT
between
Tribe Capital (Pty) Ltd
(“member”)
and
_____________________________________________
(“client”)
INITIAL HERE

1. Interpretation
1.1 In this agreement, unless otherwise clearly indicated by, or inconsistent with, the context -
1.1.1 the words and expressions used in this agreement bear the same meaning as are assigned to them in the rules of the
JSE (“the rules”);
1.1.2 In the event of conflict between the rules and the provisions of this agreement the provisions of the rules shall prevail;
and
1.1.3 “clause” means a separate numbered provision of this Agreement.
1.2 The rules shall apply mutatis mutandis to this agreement as if incorporated herein.
2. Rules binding
The client by his signature hereto acknowledges and confirms that he has read and understood and shall be bound by the rules.
3. Appointment
(Delete clause which is not applicable)
3.1 Non-discretionary client agreement
The client appoints the member and the member accepts the appointment to trade in instruments listed by the JSE without
discretion and only in response to an order from the client.
3.2 Discretionary client agreement
The client hereby appoints the member and the member accepts the appointment to trade with the client in the instruments listed by
the JSE on a discretionary basis as defined in the rules or in response to an order from the client, as the case may be.
4. Conditions precedent
This agreement shall be of no force and effect until the client has been registered by the clearing house in terms of the rules and
has, if clause 14.4 of this Agreement applies, paid the amount to be invested in terms of that clause.
5. Risk acknowledgement
The client acknowledges that he has read the Risk Disclosure Statement attached hereto as Annexure A and fully understands the
contents thereof.
6. Obligations of member
6.1 The member –
6.1.1 shall endeavour, but shall not be obliged, to confirm to the client that any instruction has been executed and shall not
be responsible for any accidental delay or inaccuracy in the execution of the client’s instructions;
6.1.2 may report to the client in writing whenever a trade is done and such report shall include details of the exchange
contract, the price, the number of exchange contracts, the time of the instruction to trade, the time at which the trade was
done and whether the trade had the effect of opening, closing, increasing or decreasing a position, the fees and commission
payable and other details relevant to the trade; and
6.1.3 shall maintain the trading and position records and report to the client as required by Rule 10.20, and shall take all
reasonable steps to provide the client with any information that the client requires relating to the positions of the client.
6.2 In the case of a discretionary client agreement, the member warrants that he will manage the client’s investments in
accordance with the investment objectives of the client referred to in clause 14.4.1 (3.2).
7. Margin and withdrawals from client’s account
7.1 The member is authorised to withdraw from the client’s account referred to in rule 11.40 such amounts as are
required from time to time to settle any amounts due in the course of opening, closing or maintaining any positions on
behalf of the client and to effect such other payments as are necessary in the operation of the client’s account.
7.2 In terms of rule 8.60.3.2 the client shall pay to the member an amount of additional margin equal to a factor of
% of the initial margin kept by the clearing house. (Complete by inserting amount – insert 0% if not applicable)

INITIAL HERECLIENT REGISTRATION FORM 7INITIAL HERE
8. Trading capacity
The client hereby authorises the member to trade as –
Principal
Agent
Principal or agent
(indicate choice with x)
9. Trading limits
The member shall advise the client of all trading or position limits imposed upon him by his clearing member, if any, and of all limits
imposed by the member on the client.
10. Telephone calls
The parties acknowledge and confirm that they are conversant with the provisions of rule 10.20.4 relating to the tape recording of
telephone calls that they shall be deemed irrevocably to have consented thereto.
11. Unsolicited calls
The client acknowledges that he or she is conversant with section 25 of the Act, set out in Schedule B of this Agreement.
12. Fees
12.1 Fees for services rendered shall be levied by the member in accordance with the rules and the client hereby undertakes to
pay such amount on the due date for the payment thereof.
12.2 The member shall give the client 30 days written notice of any change in the fees contained in Annexure C to this agreement.
12.3 The member –
may
may not
(indicate choice with x)
charge a fee for any trade with the client when acting as principal.
13. Disclosure to third parties
The member undertakes not to disclose confidential information relating to the client except where such disclosure is -
13.1 made under compulsion of law or in terms of the rules;
13.2 in compliance with a duty to the public to disclose;
13.3 necessary to further the legitimate interests of the member; or
13.4 made with the consent of the client.
14. Client warranties
The client warrants that -
14.1 the information set out as regards him or her in the Client Registration Form and in this Agreement is in all respects
true and correct;
14.2 he or she will keep the member informed of any changes in the information set out in the documents mentioned in
clause 14.1;
14.3 he or she complies and will comply with all the requirements of the rules for acceptance as a client; and
14.4 in the case of a discretionary client agreement, that he or she–
14.4.1 has the investment objectives set out in Annexure D to this Agreement, as amended from time to time;
X
X

14.4.2 shall invest R within days of signature hereof, which shall constitute the
investments made;
14.4.3 intends to make the investment available for a period of months, subject to clause 14.4.1, starting on
20.., after which the period will automatically be extended by the number of months as stipulated
above, subject to clause 19; (Complete 14.4.2 and 14.4.3)
14.4.4 is entitled at any time to require the payment of him or her of any funds in the name of the client which exceeds the
investments referred to in clause 14.4.2
15. Breach by client
15.1 Time shall be of the essence for the performance by the client of any obligation under this agreement and the rules
including, but not limited to, a breach of rule 11.50
15.2 The provisions of Rules 12.10 and 12.20 shall apply in case of any breach by the client of his or her obligations under
this agreement.
16. Breach by member
16.1 Should the member fail to fulfil any obligation to the client in terms of this agreement the client shall immediately
inform the executive officer of the details of such breach.
16.2 The provisions of rules 12.10 and 12.30 or 12.40, as the case may be, may be invoked in the case of any breach by the
member of his or her obligations under this agreement.
17. Voluntary termination
A party shall be entitled to terminate this agreement by giving written notice to the other party in the manner provided in this
Agreement, provided that such termination shall not -
17.1 affect the rights or obligations of the parties in terms of this agreement which may have arisen or are in existence at
the date of such notice or at the date of termination of this agreement;
17.2 entitle the client to claim or withdraw from the account referred to in clause 7 any monies held to secure the
obligations of the client, until such obligations have been settled.
18. Arbitration
Any dispute arising out of or in connection with this Agreement or the subject matter of this Agreement, shall be resolved by
arbitration or mediation in terms of section 17 of the rules.
19. Law
19.1 This agreement shall be governed by, and construed in accordance with, the laws of the Republic of South Africa.
19.2 Subject to the provisions of clause 18, the parties submit to the jurisdiction of the South African courts.
20. Relaxation
20.1 No latitude, extension of time or other indulgence which may be given or allowed by a party to the other party in respect of
the performance of any obligation under this agreement or the enforcement of any right arising from this agreement, and no single
or partial exercise of any right by any party, shall under any circumstances be construed as an implied consent by such party or
operate as a waiver or a novation of or otherwise affect the rights of any party under this agreement or prevent such party from
enforcing strict and punctual compliance with each and every provision or term hereof.
20.2 The provisions of Rule 11.50 shall otherwise apply to any such relaxation or indulgence.
21. Variation
No addition or variation, consensual cancellation or novation of this agreement and no waiver of any right arising from this
agreement or its breach or termination shall be of any force or effect unless reduced to writing and signed by both the parties or
their duly authorised representatives: Provided that no such addition, variation, novation or waiver shall, except in the case of any
addition or variation to Annexures C and D, be effected without the prior approval of the executive officer.
22. Whole agreement
This Agreement, read with any approved occurrences referred to in clause 21, contains the entire agreement between the member
and client and neither of them shall be bound by any undertakings, representations or warranties not recorded herein.

23. Notices and domicilia
23.1 The parties choose as their domicilia citandi et executandi their respective addresses set out in this clause for all purposes
arising out of or in connection with this agreement at which addresses all processes, communications and notices arising out of or
in connection with this agreement, its breach or termination may validly be served upon or delivered to the parties.
23.2 For the purposes of this agreement the respective addresses shall be as follows –
THE CLIENT
Address:
Telephone number:
Facsimile:
E-mail:
THE MEMBER Tribe Capital (Pty) Ltd
Address: Suite M2, Block C, First Floor, Northlands Corner, c/o New Market & Witkoppen Road, Northriding, 2196
Telephone number: 010 350 5400
Facsimile: 086 606 1832
E-mail: info@tribecapital.co.za

or at such other address, not being a post office box or poste restante, or number of which the party concerned may notify the other
in terms of this agreement.
23.3 Any notice given in terms of this agreement shall, unless sent by electronic means, be in writing and shall be deemed, until the
contrary is proved, to have been received -
23.3.1 at the time of delivery if delivered by hand during normal business hours at the addressee’s registered address;
23.3.2 by no later than the seventh day after the date of posting if posted by pre-paid registered post from an address within
the Republic of South Africa to the addressee at the addressee’s registered address;
23.3.3 on proof of transmission if transmitted by telex, facsimile or electronic means.
23.4. Notwithstanding anything to the contrary contained in this agreement a communication actually received by one of the parties
from another shall be adequate written notice or communication to such party.

FOR THE MEMBER
Thus done and signed at
on this the day of 20
(Signature of representative)
Who warrants that he is duly authorised to bind the member
Name of signatory Designation
As witness
FOR THE CLIENT
Thus done and signed at
on this the day of 20
(Signature of representative)
Who warrants that he is duly authorised to bind the client
Principle
Name of signatory Designation
As witness

INITIAL HERE 11CLIENT AGREEMENT
Risk Disclosure Statement
This risk disclosure statement is made pursuant to the rules. The risk of loss arising from trading in futures and options can be
substantial. You should carefully consider whether such investments are suitable for you in the light of your circumstances and
financial resources. You should be aware of the following points -
1. If the market moves against your position, you may, in a relatively short time, sustain more than a total loss of the funds placed
by way of margin or deposit with your member. You may be required to deposit a substantial additional sum, at short notice, to
maintain your margin balances. If you do not maintain your margin balances your position may be closed out at a loss and you will
be liable for any resulting deficit.
2. Under certain market conditions it may be difficult or impossible to close out a position. This may occur, for example, where trading
is suspended or restricted at times of rapid price movement.
3. Where permitted, placing a stop-loss order will not necessarily limit your losses to the intended amounts, for market conditions may
make it impossible to execute such orders at the stipulated price.
4. A spread or straddle position may be as risky as a simple long or short position and can be more complex.
5. Markets in futures and options can be highly volatile and investment in them carries a substantial risk of loss. The high degree
of “gearing” or “leverage” which is often obtainable in trading these contracts stems from the payment of what is a comparatively
modest deposit or margin when compared with the overall contract value. As a result a relatively small market movement can, in
addition to achieving substantial gains where the market moves in your favour, result in substantial losses which may exceed your
original investment where there is an equally small movement against you.
6. When your member deals on your behalf, you should allow this only in contracts listed on the JSE. Should you deal in contracts not
listed on the JSE, then you do so at your own increased risk.
7. Prior to the commencement of trading, you should require from your member written confirmation of all current commissions, fees
and other transaction charges for which you will be liable.
8. Members may also be dealers trading for their own account in the same markets as you, in which case their involvement could be
contrary to your interests.
9. You should carefully consider whether your financial position permits you to participate in a syndicate. Areas of particular concern
are -
9.1 charges for management, advisory and brokerage fees;
9.2 the performance record of the syndicate and for how long it has been operating; and
9.3 the credibility of management.
10. Your member should explain to you the meaning of various terms set out herein so that you are fully aware of their significance.
11. Your member is required to disclose and explain to you the terms of section 25 of the Financial Markets Control Act, 1989, in
respect of unsolicited calls. The wording of section 25 is set out in Annexure B.
12. If you have any doubts or concerns regarding the risks in trading financial futures you may contact the JSE for more detailed
information before signing this statement.
This brief statement cannot disclose all risks of investment in financial futures and options. They are not suitable for many members of
the public and you should carefully study such investments before you commit funds to them. They may also have tax consequences
and on this you should consult your lawyer, accountant or other tax advisor.
Extracts from the Financial Markets Control Act, 1989
Section 1: “unsolicited call”
in relation to entering into an agreement in respect of listed financial instruments, means a personal visit made to someone or an
oral communication made to someone without an express or tacit invitation from such person, but excluding any personal visit
or oral communication made to someone on whose behalf the business of buying and selling of listed financial instruments has
previously been carried on by the person who made that personal visit or oral communication, a stock-broker as defined in section
1 of the Stock Exchanges Control Act, 1985 (Act No. 1 of 1985), a member of a financial exchange, or a financial institution
referred to in paragraph (a), (b), (c), (d), (e), (f) or (h) of the definition of “financial institution” in section 1 of the Financial Institutions
(Investment of Funds) Act, 1984 (Act No 39 of 1984).
ANNEXURE A
ANNEXURE B

INITIAL HERE12 CLIENT REGISTRATION FORM
Section 25: “unsolicited call”
1. When an agreement in respect of listed financial instruments is entered into in the course of or in consequence of an unsolicited
call, the person in respect of whom the call was made may within five days, or any other prescribed period, after the date of
entering into such agreement, terminate the agreement :-
a) by notice in writing delivered to the person who made the unsolicited call, or sent to him by prepaid registered mail; and
b) by tendering the return of any goods delivered to him in terms of the agreement.
2. The period of five days or any other prescribed period contemplated in subsection (1) shall be calculated with the exclusion of the
day upon which the agreement referred to in subsection (1) was entered into and of any Saturday, Sunday or public holiday.
3. When an agreement referred to in subsection (1) is terminated in accordance with subsection (1), the person who made the
unsolicited call shall :-
a) within ten days, or any other prescribed period, of the date upon which the notice of termination in question was so delivered or
sent to him, return to the person in respect of whom the unsolicited call was made any money paid or other property transferred to
him in terms of the said agreement; and
b) receive from the person in respect of whom the unsolicited call was made any goods delivered by him in terms of the said
agreement and the return of which was tendered under subsection (1)(b).
Fees schedule for Single Stock Futures and ALSI (SAFEX EQUITY DERIVATIVES)
The fees referred to in clause 12 of this Agreement, will be as follows:
BROKERAGE
points (ALSI 40 future), % of exposure (SSF) to EDI,
% of exposure (SSF) to market maker (exposure > R 50k).
% of exposure (SSF) to market maker (exposure < R 50k).
Minimum of R 100.00 per “SSF” trade.
VAT 14% of brokerage
SAFEX BOOKING FEES R (ALSI 40 future), % of exposure (SSF)

Penalties for nonpayment of Margin calls
Should any margin calls not be paid before 12:00 on the day payment is due and Tribe Capital (Pty) Ltd is forced to fund the margin call
on behalf of the client; the following fees will apply:
A penalty of 10% of the amount funded, plus interest at the prime rate plus 5% will be added to the amount owing, with a minimum
charge of R500.00 per occurrence.
The above penalty and interest does not absolve the client from paying any outstanding margin calls due nor does it exempt the client
from any obligations in terms of the agreement.
ANNEXURE C

Investment objectives of client
The investment objectives of the client as envisaged in clause 14.4.1 of this Agreement shall be as follows:
NOTE:
Any later amendments to Annexures C or D must be attached to this Agreement, properly signed and dated.
Fees schedule for Yield-X Currency Future Contracts
The fees referred to in clause 12 of this Agreement, will be as follows:
BROKERAGE R Per $1,000 exposure
VAT R Per $1,000 exposure
SAFEX ALLOCATION R Per $1,000 exposure
TOTAL R
Penalties for nonpayment of Margin calls
Should any margin calls not be paid before 12:00 on the day payment is due and Tribe Capital (Pty) Ltd is forced to fund the margin call
on behalf of the client; the following fees will apply:
A penalty of 10% of the amount funded, plus interest at the prime rate plus 5% will be added to the amount owing, with a minimum
charge of R500.00 per occurrence.
The above penalty and interest does not absolve the client from paying any outstanding margin calls due nor does it exempt the client
from any obligations in terms of the agreement.
Investment objectives of client
The investment objectives of the client as envisaged in clause 14.4.1 of this Agreement shall be as follows:
NOTE:
Any later amendments to Annexures B or C must be attached to this Agreement, properly signed and dated.
ANNEXURE D
ANNEXURE E
ANNEXURE F

Banking Details
Account Name:
Bank:
Account Number:
Branch:
Branch Code:
Signature of Client
Discretionary Managed Portfolio
N.B. The client must initial all deletions and/or alterations and each page must be initialled by all signatories.
I / We the undersigned (Full names) trading in my/our own name or
as: (“the client”) request and authorise Tribe Capital (Pty) Ltd (“the firm”) to operate
a managed account as defined in Rules 2.10, 5.170 and 12.70 of the Johannesburg Stock Exchange (“the rules”) (copies of which are
available on request) for the client on the following terms:
1. The firm is authorised to purchase and/or sell stocks, shares and futures (“securities”) for the client’s account and, to this end,
without prior consultation with the client, to conclude all or any such transactions for the purchase and/or the sale of the client’s
securities and to act generally on the client’s behalf in connection with these securities as the firm deems to be in the client’s best
interests and as may be required by this mandate.
2.
2.1 The firm shall deposit for the client’s account and in the client’s name with JSE Trustees (Pty) Ltd (“JSE Trustees”), all cash
received by the firm in respect of or arising from the operation of the client’’ account which is not paid over by the firm to the client
upon receipt of such cash.
2.2 Subject to this mandate and to the applicable rules of the JSE, the firm is hereby authorised to withdraw from the client’s
account with JSE Trustees, such amounts as are required to pay for securities purchased on the client’s behalf and to effect such
other payments as are necessary in the operation of the managed account.
3.
3.1 The firm shall hold the client in safekeeping all securities arising form the operation of this account in terms of rules 5.140 of the
rules. Such securities shall on written request be registered in the name of “the client” / Tribe Capital (Pty) Ltd Nominees.
3.2 The firm is hereby authorised to withdraw any securities held in terms of paragraph above for the purposes only: -
3.2.1 of delivering the securities to the client or the client’s order
3.2.2 of dealing with the securities as may be required in operating the client’s account.
ANNEXURE G
ANNEXURE H

4. Any arrangement entered into in terms of this mandate shall not affect the client’s right at any time subject to the provision of rules
5.170, of the rules to require the payment to the client upon the client’s request, of any cash held by the firm on the client’s behalf or
in the client’s name with JSE Trustees, or for the delivery of any securities held by the firm on the client’s behalf.
5.
(Special arrangements as are required between the client and the broker which are not inconsistent with the terms above. It is
expressly stipulated for the benefit of the Committee of the Johannesburg Stock Exchange (“The Committee”) that the Committee
shall be the final arbiter of any inconsistency between this mandate and the terms of such special arrangements).
6. The client indemnifies the firm and/or any of the firm’s members or employees acting within the course and scope of their
employment and holds the firm and/or the aforesaid members or employees harmless from and against any and all claims,
damages, liabilities, costs and expenses, including reasonable attorney’s fees on the attorney and own client scale. (“The claims”),
which may be brought to the client by reason of the operation of the client’s account, unless the claims are attributable to fraud, bad
faith, dishonesty or gross negligence on the firm’s part or on the part of the firm’s members or employees.
7. This mandate shall only be cancelled by notice in writing delivered by hand or sent by registered post by one party to the other party
and such cancellation shall only become effective when such notice has been received by the other party, provided that any such
notice which is sent by registered post shall be deemed, unless and until the contrary is proved, to have been received ten days
after the date of posting.
Address: Telephone No (W)
(H)
Code: Fax / Cell No
I.D. Number / Registration Number
Signed at on 20
Signature of Client
Tribe Capital (Pty) Ltd hereby undertake: -
1. To carry out the terms of this mandate in accordance with the provision of the relevant and directives, including but not limited to
rules 5.170 and 12.70 of the JSE and in accordance with any other rules, directives of the JSE which may now have or which may
in the future have a bearing on the conduct of managed accounts.
2. To try to achieve the best results possible which are compatible with the client’s objectives but the firm cannot be held responsible
or be liable for any losses which the client may sustain unless attributable to fraud, bad faith, or gross negligence on the part of the
firm, or of its employees.
Signed at on 20
Signature of Broking Member
Account No. Department
SAFEX / UNEXCOR CODE

Non – Discretionary Managed Portfolio
N.B. The client must initial all deletions and/or alterations and each page must be initialed by all signatories.
I / We the undersigned (Full names) _________________ trading in my/our own name or as: _________________ (“the client”)
request and authorise Tribe Capital (Pty) Ltd (“the firm”) to operate a managed account as defined in Rules 2.10, 5.170 and 12.70 of
the Johannesburg Stock Exchange (“the rules”) (copies of which are available on request) for the client on the following terms:
2. The firm is authorised to purchase and/or sell stocks, shares and futures (“securities”) for the client’s account and, to this end, with
prior consultation with the client, to conclude all or any such transactions for the purchase and/or the sale of the client’s securities
and to act generally on the client’s behalf in connection with these securities as the firm deems to be in the client’s best interests
and as may be required by this mandate.
2.
2.3 The firm shall deposit for the client’s account and in the client’s name with Johannesburg Stock Exchange Trustees (Pty) Ltd
(“Johannesburg Stock Exchange Trustees”), all cash received by the firm in respect of or arising from the operation of the client’’
account which is not paid over by the firm to the client upon receipt of such cash.
2.4 Subject to this mandate and to the applicable rules of the Johannesburg Stock Exchange, the firm is hereby authorised to withdraw
from the client’s account with Johannesburg Stock Exchange Trustees, such amounts as are required to pay for securities
purchased on the client’s behalf and to effect such other payments as are necessary in the operation of the managed account.
3.
3.3 The firm shall hold the client in safekeeping all securities arising form the operation of this account in terms of rules 5.140 of the
rules. Such securities shall on written request be registered in the name of “the client” / Tribe Capital (Pty) Ltd.
3.4 The firm is hereby authorised to withdraw any securities held in terms of paragraph above for the purposes only: -
3.4.1 of delivering the securities to the client or the client’s order
3.4.2 of dealing with the securities as may be required in operating the client’s account.
5. Any arrangement entered into in terms of this mandate shall not affect the client’s right at any time subject to the provision of rules
5.170, of the rules to require the payment to the client upon the client’s request, of any cash held by the firm on the client’s behalf or
in the client’s name with Johannesburg Stock Exchange Trustees, or for the delivery of any securities held by the firm on the client’s
behalf.
5.
(Special arrangements as are required between the client and the broker which are not inconsistent with the terms above. It is
expressly stipulated for the benefit of the Committee of the Johannesburg Stock Exchange (“The Committee”) that the Committee shall
be the final arbiter of any inconsistency between this mandate and the terms of such special arrangements).
8. The client indemnifies the firm and/or any of the firm’s members or employees acting within the course and scope of their
employment and holds the firm and/or the aforesaid members or employees harmless from and against any and all claims,
damages, liabilities, costs and expenses, including reasonable attorney’s fees on the attorney and own client scale. (“The claims”),
which may be brought to the client by reason of the operation of the client’s account, unless the claims are attributable to fraud, bad
faith, dishonesty or gross negligence on the firm’s part or on the part of the firm’s members or employees.
9. This mandate shall only be cancelled by notice in writing delivered by hand or sent by registered post by one party to the other party
and such cancellation shall only become effective when such notice has been received by the other party, provided that any such
notice which is sent by registered post shall be deemed, unless and until the contrary is proved, to have been received ten days
after the date of posting.
ANNEXURE I
MANDATE

Address: Telephone No (W)
(H)
Code: Fax / Cell No
I.D. Number / Registration Number
Signed at on 20
Signature of Client

Tribe Capital (Pty) Ltd hereby undertake: -
3. To carry out the terms of this mandate in accordance with the provision of the relevant and directives, including but not limited to
rules 5.170 and 12.70 of the Johannesburg Stock Exchange and in accordance with any other rules, directives of the Johannesburg
Stock Exchange which may now have or which may in the future have a bearing on the conduct of managed accounts.
4. To try to achieve the best results possible which are compatible with the client’s objectives but the firm cannot be held responsible
or be liable for any losses which the client may sustain unless attributable to fraud, bad faith, or gross negligence on the part of the
firm, or of its employees.
Signed at on 20
Signature of Broking Member
Account No. Department
SAFEX / UNEXCOR CODE

Call Account Mandate
(Agreement with SCMB, who is the clearing member for Tribe Capital (Pty) Ltd.)
CLIENT’S DETAILS: (please choose one of the following)
INDIVIDUAL
Full Name:
I.D Number:
Physical Address:
Postal Address:
ANNEXURE J

Fax Number: Telephone Number:
E-mail Address:
Employer Name and address:
CORPORATE (companies and close corporations)[
Full Name:
I.D Number:
Physical Address:
Postal Address:
E-mail Address:
PARTNERSHIP / TRUST
Full Name:
I.D Number:
Physical Address:
Postal Address:
E-mail Address:
Full Signature
NON-CLEARING MEMBER DETAILS (or Authorised Representative)
Full Name: Tribe Capital (Pty) Ltd
Registration Number: 2003/023565/07
Physical Address: Suite M2, Block C, First Floor, Northlands Corner, c/o New Market & Witkoppen Road, Northriding, 2196
Postal Address: Postnet 136, Private Bag X51, Rivonia, 2128
Fax Number: 086 606 1832 Telephone Number: 010 350 5400
CLIENT’S CALL ACCOUNT DETAILS
Customer Number:
Call Future Account Number:


1. Scope of Mandate
1.1 I, the undersigned hereby request you, The Standard Bank of South Africa Limited, registration number 1962/000738/06 (“Std
Clearing”) to open and operate a call account on my behalf, on the terms and conditions of this mandate (“the/this Mandate”) in
respect of cash.
1.2 Std Clearing is a member of a the JSE Securities Exchange South Africa (“JSE”) as successor entity of the South African
Futures Exchange.
2. Interpretation
2.1 Unless otherwise stated or inconsistent with the context, words and expressions used in this Mandate will have the same
meaning as are ascribed in this Mandate.
2.2 The parties agree that if the Client / Non-Clearing members is a corporate entity, all references in the Mandate to the first person
shall be properly construed as references to such corporate entity.
2.3 This Mandate is and will remain subject to the rules of the JSE (previously the rules of SAFEX) (“the JSE Rules”) the Financial
Markets control Act and all other laws, applicable from time to time.
3. Duration
3.1 This Mandate is effective from (the “Effective Date”). Either party may end this Mandate
by giving 30 days’ written notice to the other.
3.2 Subject to 5 of this Mandate, Std Clearing will transfer cash amounts to me or any other party I nominate in writing when such
30 day notice period expires, or as soon thereafter as is reasonably possible.
4. Non-Discretionary Mandate
4.1 Subject to 5 of this Mandate, the discretion of Std Clearing to manage and operate my call account is restricted in that Std
Clearing’s right to act on such account may only be exercised on:
4.1.1 the instruction of my authorised representative as set out in point 4 of the Clients’ / Non-Clearing Member details (the
“Authorised Representative”). I warrant that this Authorised Representative is duly authorised and at the time of giving such
instructions, will comply with all Applicable Laws.
4.1.2 I agree that Std Clearing will have full discretion and the right to effect any pledge and cession between Std Clearing and me
and to exercise all the powers set out in clause 5 below.
5. Operation of Call Account
5.1 Subject to 5.2 and 5.3 below, any interest accruing in respect of the cash amounts held in my call account will be paid out to
myself.
5.2 Std Clearing may make use of the money in my call account to pay for any outstanding debt obligations I may have to Std
Clearing with respect to transactions entered into by Std Clearing on my behalf with the JSE and any other payments strictly
necessary under this Mandate.
5.3 I agree that the amounts held by Standard Bank Clearing in this call account are pledged to Standard Bank Clearing as security
for all my existing, future and contingent liabilities arising from any trades entered into by myself or my Authorised Representative or
arising in any other way subject to the conditions mentioned in this Mandate.
5.4 I further agree that the amount of my indebtedness to the bank at any time (including interest and the rate of interest) shall
be determined and proved by a certificate signed by any manager or branch administrator of the bank. It shall not be necessary
to prove the appointment of the person signing any such certificate, and such certificate shall be binding on me and, in absence
of evidence to the contrary, proof of the amount of our indebtedness and shall be valid as a liquid document against us in any
competent Court for the purpose of obtaining provisional sentence or summary or other judgement against us thereon.
6. Acknowledgements
6.1 I acknowledge that I shall be bound by the Financial Markets Control Act and the JSE rules.
7. Notices
7.1 Any notice given in terms of this Mandate by either me or Std Clearing will be in writing and deemed, unless the contrary is
proved, to have been received:
7.1.1. on the date it was delivered by hand;
7.1.2. 14 days after posting;
7.1.3. on the date shown on a fax transmission confirmation.

8. Amendments
8.1 All amendments to this Mandate must be in writing and signed on behalf of both parties.
9. Applicable Law
9.1 This Mandate is governed by South African Law.
I, the undersigned, agree that I have read the terms and conditions of this Mandate and agree to be bound by them.
CLIENT
Signed at on 20
By:
Client or Authorised Representative
who warrants that he is duly authorised
Witness
CLIENT
Signed at on 20
By:
Witness
Herewith (full name of client) and
(full name of Tribe Capital (Pty) Ltd broker) agree to the profit sharing.
The agreed rate of profit share will be of total earnings of the portfolio.
This is a performance fee that operates on a *high watermark principle and is calculated on an annual basis but deducted quarterly .
Profit Share to be allocated on a Quarterly Basis unless otherwise agreed.
Signed at on day of
month Year.
Client Signature
* Investopedia Says: High Watermark
The highest peak in value that an investment fund/account has reached. The high watermark ensures that the manager does not
get paid large sums for poor performance. So if the manager loses money over a period, he or she must get the fund above the
high watermark before receiving a performance bonus. For example, say after reaching its peak a fund loses R100,000 in year one,
and then makes R250,000 in year two. The manager therefore not only reached the high watermark but exceeded it by R150,000
(R250,000 - R100,000), which is the amount on which the manager gets paid the bonus.
ANNEXURE K
AGREEMENT ON PROFIT SHARE ALLOCATION

Tribe Mandate_JSE_2016.PDF

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