Compliance and Ethics Policy

At Engage Access, integrity and professionalism are at the heart of everything we do. We are committed to operating in accordance with applicable regulatory frameworks and industry best practices while ensuring transparency, confidentiality, and impartiality across all our engagements.

Engage Access operates strictly as a corporate and strategic access facilitator, partnering with institutional investors, listed and unlisted corporates, and leading local brokers. Our services include:

• Event origination and coordination
   
• Facilitating direct access to corporate management teams
   
• Sourcing speakers and industry experts for investor education
   
• Managing all aspects of investor engagement logistics
   
• Offering accredited Continuing Professional Development (CPD) events where applicable
   

Importantly, Engage Access does not:

• Provide investment advice or recommendations
   
• Offer brokerage or intermediary services for securities transactions
   
• Manage client funds or investment portfolios
   

Our role is purely to facilitate informed dialogue and provide timely market insights.

While Engage Access does not perform regulated financial services that require licensing under the Financial Advisory and Intermediary Services (FAIS) Act, we remain fully committed to compliance with relevant South African legislation and governance standards.

This includes:

• Protection of Personal Information Act (POPIA)
  We handle all client, investor, and corporate data with the highest standard of care, in full compliance with POPIA. Personal information is collected, stored, and processed solely for legitimate business purposes and engagement facilitation.
   
• CPD Accreditation Compliance
  For CPD-accredited events, Engage Access adheres to the certification, content quality, and reporting requirements set by the relevant accrediting body (e.g., SAIFM).
   

Confidentiality is integral to our business model. All proprietary information shared with Engage Access by clients, corporates, or investors is treated with strict confidence and will not be disclosed to third parties without prior written consent.

We implement appropriate security protocols—both digital and operational—to safeguard all personal and corporate data under our care.

Engage Access operates with impartiality and fairness across all client engagements.

We are committed to:

• Transparent disclosure of any potential conflicts of interest
   
• Equal and unbiased access to corporates and event opportunities for all clients
   
• Clear communication regarding any commercial arrangements or event sponsorships
   

Engage Access maintains a zero-tolerance approach to bribery and corruption.
We do not, under any circumstances:

• Offer or accept bribes, kickbacks, or improper inducements
   
• Engage in practices that may compromise our professional integrity
   

All business is conducted in line with international anti-corruption standards.

All events, webinars, and materials facilitated by Engage Access are provided for informational purposes only. Participation does not constitute financial advice or investment recommendation. Investors should consult with their licensed financial advisors before making any investment decisions.

This policy is reviewed annually and updated as necessary to reflect changes in regulation, market practice, and client expectations.

Effective Date: 1 July 2025
Next Review Date: 1 July 2026