Register of Relevant Duties and Relevant Interests. NULIS Nominees (Australia) Limited ( the Trustee )

Transcription

1 Register f Relevant Duties and Relevant Interests NULIS Nminees (Australia) ( the ) The s cre activities cnsist f the discharge f duties as the trustee f MLC Superannuatin Fund, MLC Pled Superannuatin Trust, PremiumChice Retirement Service, DPM Retirement Service and (each an RSE fr the purpse f this register). The utsurces superannuatin business services t Natinal Wealth Management Services ( NWMSL ) and ther services t entities wh are part f Natinal Australia Bank ( NAB ). Fllwing is the register f relevant duties and interests fr Name Psitin Respnsibilities Relevant Duties Relevant Interests Nicle Smith Independent Nn- Executive Directr A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993). Chair f the Bard. Chair f the Insurance Cmmittee f the Bard Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Yarra Funds Management Westpac RE External Cmpliance Cmmittee Member - Irnbark Asset Management (Fund Service) Member f the Peggy O Neal Independent Nn- Executive Directr A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993). Chair f the Successr Fund Transfer Cmmittee f the Bard. Directr f: NULIS Nminees (Australia) Independent Cmmittee Member f: External Cmpliance Cmmittee, Vanguard Investments Australia Hlder f NAB shares directly and in SMSF Terry McCredden Independent Nn- Executive Directr A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993). Chair f the Disclsure Gvernance Cmmittee f the Bard. Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Evelyn Hrtn Independent Nn- Executive Directr A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Directr f: MLC Nminees Pty NULIS Nminees (Australia) Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 1 f 8 Date f Register as at 31 December 2017

2 Name Psitin Respnsibilities Relevant Duties Relevant Interests Industry (Supervisin) Act 1993). Chair f the Risk and Audit Cmmittee f the Bard. PFS Nminees Pty Alan Schenheimer Independent Nn- Executive Directr A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993). Chair f the Masterkey and Plum Investment Cmmittee f the Bard. Directr f: NULIS Nminees (Australia) Andrew Gale Nn-Executive Directr A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993). Chair f the Super Wrap and IDPS Investment Cmmittee f the Bard. Directr f: NULIS Nminees (Australia) Apgee Financial Planning Gdfrey Pembrke GWM Adviser Services Meritum Financial Grup Pty SMSF Assciatin (Chairman) Directr f crprate entity fr family trust that hlds NAB shares Spuse is a hlder f NAB shares Peeyush Gupta Nn-Executive Directr A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993). Directr f: NULIS Nminees (Australia) Natinal Australia Bank MLC Investments Navigatr Australia NAB Asset Management Services (previusly knwn as JANA Crprate Investments Services ) Antares Capital Partners Link Administratin Hldings Directr f crprate entity fr family trust that hlds NAB Shares Peter Prmnitz Brian Marritt Independent Nn- Executive Directr Chief Operating Officer A member f the Bard which is respnsible fr cnducting the activities f the and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993). Respnsible fr the day-t-day peratins f the. Respnsible fr ensuring the functins f the Bard cmply with the relevant laws (eg. Directr f: NULIS Nminees (Australia) Australian Unity Big Sky Building Sciety Warakirri Asset Management Pty Ltd Warakirri Hldings Chief Operating Officer f NULIS Nminees (Australia), PFS Nminees Pty and MLC Nminees Pty Cmpany Secretary f NULIS Nminees Member f the Hlder f NAB shares Spuse is a hlder f NAB shares Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 2 f 8 Date f Register as at 31 December 2017

3 Name Psitin Respnsibilities Relevant Duties Relevant Interests Cangie Matera Cmpany Secretary The Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993) and regulatins. Respnsible fr ensuring the functins f the Bard cmply with the relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993) and regulatins. Implementatin and management f an apprpriate gvernance framewrk fr the Bard. Day t day representative f the bard, assisting and guiding management in matters pertaining t the Bard. (Australia) Cmpany Secretary f PFS Nminees Pty Cmpany Secretary f MLC Nminees Pty Emplyee f Natinal Australia Bank Cmpany Secretary f NULIS Nminees (Australia) Cmpany Secretary f PFS Nminees Pty Cmpany Secretary f MLC Nminees Pty Emplyee f Natinal Australia Bank Maree Pallisc RSE Auditr Auditr appinted by the t audit its RSEs. RSE Auditr fr PremiumChice Retirement Service RSE Auditr fr DPM Retirement Service RSE Auditr fr MLC Superannuatin Fund RSE Auditr fr MLC Pled Superannuatin Trust Eligible fr bth shrt and lng term NAB emplyee Hlder f NAB shares Eligible fr bth shrt and lng term NAB emplyee Member f the Partner f Ernst & Yung Prvides audit services t Natinal Wealth Management Services David Jewell RSE Auditr Auditr appinted by the t audit its RSEs. RSE Auditr fr Partner f Ernst & Yung Matthew Lawrance Executive General Manager, Wealth & CEO MLC Super Respnsible fr the develpment f crprate and retail superannuatin prducts t meet the financial needs f custmers ver their lifetime. Emplyee f Natinal Australia Bank Directr f Natinal Wealth Management Services Directr f crprate entity fr SMSF trust that hlds NAB Shares Hlder f NAB shares Eligible fr bth shrt and lng term NAB emplyee Member f the Andrew Hagger Chief Custmer Officer Cnsumer & Wealth Respnsible fr Retail Banking, Brker Partnerships, Direct Banking, Direct Wealth, Ubank and Wealth Advice. Emplyee f Natinal Australia Bank Directr f: WM Life Australia Ltd Natinal Wealth Management Services Ltd MLC Hlder f NAB shares directly and in self-managed super fund Eligible fr bth shrt and lng term NAB emplyee Member f the Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 3 f 8 Date f Register as at 31 December 2017

4 Name Psitin Respnsibilities Relevant Duties Relevant Interests Shane Harvey General Manager Finance Partner, Wealth Prducts Member f Wealth Finance LT. Lead Head f Finance team (Wealth Business Units). Drive business t exceed financial Plan. Emplyee f Natinal Australia Bank Directr f NABInvest Capital Partners Pty Ltd Member f the Hlder f Nab shares Eligible fr bth shrt and lng term NAB emplyee Amanda Mrgan General Manager, Audit, Natinal Australia Bank Respnsible fr leading the NAB audit team which undertakes audit activities n behalf f Emplyee f Natinal Australia Bank Directr f crprate entity fr SMSF trust that hlds NAB Shares Hlder f NAB shares Spuse is a hlder f NAB shares directly and in SMSF Eligible fr bth shrt and lng term NAB emplyee Damian Murphy Chief Risk Officer, Wealth Respnsible fr prviding strategic risk advice, versight and guidance t prvide business perfrmance strnger risk management utcmes fr NAB s Wealth divisin. Emplyee f Natinal Australia Bank Hlder f NAB shares Eligible fr bth shrt and lng term NAB emplyee Member f the Garry Mulcahy Executive General Manager, NAB Asset Management Respnsible fr managing a cmbined asset management business which includes MLC, JANA and a range f direct asset management businesses. Emplyee f Natinal Australia Bank Directr f: Antares Capital Partners MLC Investments JANA Investment Advisers Pty NabInvest Capital Partners (NCP) Navigatr Australia NAB Asset Management Services (previusly knwn as JANA Crprate Investment Services (JCIS)) Natinal Wealth Management Services NAB Asset Management Altrinsic Glbal Advisrs LLC Orchard Street Investment Management LLP Hlder f NAB shares Eligible fr bth shrt and lng term NAB emplyee Jnathan Armitage Chief Investment Officer, NAB Asset Management Respnsible fr leading the investment team and the investment utcmes f the MLC investment prtflis. Emplyee f Natinal Australia Bank Member f the Hlder f NAB shares Eligible fr bth shrt and lng term NAB emplyee Russell Jansen General Manager, Wealth Operatins Respnsible fr the peratins f NAB s Wealth divisin. Emplyee f Natinal Australia Bank Hlder f NAB shares Eligible fr bth shrt and lng term NAB emplyee Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 4 f 8 Date f Register as at 31 December 2017

5 Name Psitin Respnsibilities Relevant Duties Relevant Interests Diane Smerville RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. Cnsultant t emplyer spnsrs in relatin t the structure f their defined benefit superannuatin plans. David O Keefe RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Emplyee f Delitte Services Pty Ltd Directr f ALEA Actuarial Cnsulting Pty RSE Actuary fr sub-plans f Cnsultant t emplyer spnsrs f sub plans f Member f the Guy Hlley RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. David McNeice RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Emplyee f Mercer Cnsulting (Australia) Pty RSE Actuary fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Emplyee f Twers Watsn Australia Pty Nichlas Wilkinsn RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary fr sub plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Emplyee f Twers Watsn Australia Pty Phil Pattersn RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including RSE Actuary fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 5 f 8 Date f Register as at 31 December 2017

6 Name Psitin Respnsibilities Relevant Duties Relevant Interests accunting reprting requirements. Emplyee f Twers Watsn Australia Pty Nerida Seccmbe RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary and superannuatin cnsultant fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Directr f the Hern Partnership Pty David Sctt RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Emplyee f Mercer Cnsulting (Australia) Pty RSE Actuary t ther funds which are cmpetitrs f Hlder f cmpetitrs shares Kathryn Maartensz RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary and superannuatin cnsultant fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Emplyee f Twers Watsn Australia Pty Brad Jeffrey RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary and superannuatin cnsultant fr sub-plans f, as determined by Cnsultant t emplyer spnsrs f sub plans f Emplyee f Twers Watsn Australia Pty Directr f Twers Watsn Australia Pty Sam Underhill RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their RSE Actuary and superannuatin cnsultant fr sub-plans f, as determined by the Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 6 f 8 Date f Register as at 31 December 2017

7 Name Psitin Respnsibilities Relevant Duties Relevant Interests superannuatin/emplyee benefits, including accunting reprting requirements. Cnsultant t emplyer spnsrs f sub-plans f Emplyee f Twers Watsn Australia Pty Nichlas Callil RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. Neekhil Shah RSE Actuary Actuary appinted t perfrm actuarial functins fr Cnsultant t emplyer spnsrs in relatin t their superannuatin/emplyee benefits, including accunting reprting requirements. RSE Actuary fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub-plans f Senir emplyee f Twers Watsn Australia Pty RSE Actuary fr sub-plans f, as determined by the Cnsultant t emplyer spnsrs f sub plans f Emplyee f Mercer Cnsulting (Australia) Pty Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 7 f 8 Date f Register as at 31 December 2017

8 Entity Psitin Respnsibilities Relevant Duties and Relevant Interests NULIS Nminees (Australia) Whlly wned subsidiary f Natinal Australia Bank Natinal Wealth Management Services Whlly wned subsidiary f Natinal Australia Bank NAB Asset Management Services (previusly knwn as JANA Crprate Investment Service ) Whlly wned subsidiary f Natinal Australia Bank f the Duty t act in the best interests f members f the Receives fees frm the RSE Service prvider t the Remunerated fr services prvided t the Prtfli manager fr the Remunerated fr services prvided t the JANA Investment Advisers Pty Part wned by Natinal Australia Bank (sale f 55% t private interests cmpleted in September 2017) Investment cnsultant t the Remunerated fr services prvided t the Natinal Australia Bank Listed, public cmpany and prudentially regulated Australian bank Ultimate Sharehlder f NULIS Nminees (Australia). Nabinvest Capital Partners Pty Ltd Whlly wned subsidiary f Natinal Australia Bank Antares Capital Partners Whlly wned subsidiary f Natinal Australia Bank MLC Part wned by Natinal Australia Bank (sale f 80% t Nippn Life cmpleted n 30 September 2016) Navigatr Australia Whlly wned subsidiary f Natinal Australia Bank Prvider f custdy services t the General and persnal financial advice services prvided t members f the MLC Super Fund Prvider f erllver and ecntributins Gateway services t members f the MLC Super Fund Prvider f banking services t the Prvides investment management services t the Prvides investment management services t the Prvides insurance and administratin services t Acts as Respnsible Entity fr investment prducts utilised by the Remunerated fr services prvided t the Remunerated fr services prvided t the Remunerated fr services prvided t the Remunerated fr services prvided t the Remunerated fr services prvided t the MLC Investments Whlly wned subsidiary f Natinal Australia Bank Prvides investment management services t the Remunerated fr services prvided t the Register f Relevant Duties and Relevant Interests: NULIS Nminees (Australia) Page 8 f 8 Date f Register as at 31 December 2017