Register of Relevant Duties and Relevant Interests. MLC Nominees Pty Limited ( the Trustee )

Transcription

1 Register f Relevant Duties and Relevant Interests MLC Nminees Pty ( the Trustee ) Relevant duties A duty, fr the purpses f the Register wuld generally refer t a cmmitment r bligatin t a cmpany entity (including an RSE Licensee, a related party entity r an external entity) which must be carried ut by the respective individual withut having regard t their wn persnal self-interest. Fr example, a directr, fficer r secretary f a crpratin as defined by the Crpratins Act 2001 and/r ther relevant legislatin. A duty f a Respnsible Persn wuld be relevant t the Trustee where that duty: 1. directly relates t the activities f the Trustee and invlves making decisins, participating in decisin making r managerial respnsibility fr activities which culd materially affect the Trustee s business peratins r its financial standing. 2. is indirectly cnnected t the activities f the Trustee (eg. service prvider, cnsultant/advisr r cmpetitr) and: a. having that separate duty may ptentially impair r interfere with the ability f the Respnsible Persn t exercise independent judgement in the best interests f beneficiaries f the Trustee; and/r b. the Respnsible Persn, when perfrming thse separate duties, culd ptentially engage in activities which may impact upn the interests f beneficiaries f the Trustee. Relevant interests An interest, fr the purpse f the Register, refers t interest, gift, emlument r benefit (whether pecuniary r nn-pecuniary) held by the respective individual r a member f their family. An interest held by a Respnsible Persn may be relevant t the Trustee where: the perfrmance f the Trustee r its RSEs, r decisins made by the Trustee (and/r its service prviders n its behalf) culd impact upn the wrth f the interest held by the Respnsible Persn; and/r the interest culd reasnably be cnsidered t have the ptential t influence the Respnsible Persn wh hlds the interest t act in a manner which is incnsistent with the best interests f beneficiaries f the Trustee. Register f Relevant Interests and Relevant Duties: MLC Nminees Pty Page 1 f 5 Date f Register as at 30 June 2016

2 Register f Relevant Duties and Relevant Interests The Trustee s cre activities cnsist f its discharge f duties as the trustee f The Universal Super Scheme. The Trustee utsurces administratin and ther services t MLC and ther service prviders. MLC is part f the wealth management divisin f the Natinal Australia Bank ( NAB ). Reference t NAB include MLC. Name Psitin Respnsibilities Relevant Duties * Relevant Interests Nicle Smith Nn- Directr A member f the Trustee Bard which is respnsible fr cnducting the activities f the Trustee and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Member f The Universal Super Scheme Chair f the Trustee Bard. Peggy O Neal Nn- Directr A member f the Trustee Bard which is respnsible fr cnducting the activities f the Trustee and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Hlder f NAB shares directly and in SMSF Chair f the Successr Fund Transfer Cmmittee f the Trustee Bard. Cmmittee Member f: External Cmpliance Cmmittee, Vanguard Investments Australia Terry McCredden Nn- Directr A member f the Trustee Bard which is respnsible fr cnducting the activities f the Trustee and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Evelyn Hrtn Nn- Directr A member f the Trustee Bard which is respnsible fr cnducting the activities f the Trustee and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act Chair f the Audit Cmmittee f the Trustee Bard. Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Jhn Reid Nn- Directr A member f the Trustee Bard which is respnsible fr cnducting the activities f the Trustee and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act Chair f the Disclsure Gvernance Cmmittee f the Trustee Bard. Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Hlder f NAB shares directly and in selfmanaged Register f Relevant Interests and Relevant Duties: MLC Nminees Pty Page 2 f 5 Date f Register as at 30 June 2016

3 Trevr Hunt Nn- Directr A member f the Trustee Bard which is respnsible fr cnducting the activities f the Trustee and ensuring cmpliance with relevant laws (eg. the Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act Chair f the Super Wrap and IDPS Investment Cmmittee f the Trustee Bard. Acting Chair f the MLC Nminees and PFS Nminees Investment Cmmittee. Directr f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Directr f: Apgee Financial Planning Gdfrey Pembrke Hlder f NAB shares GWM Adviser Services Meritum Financial Grup Pty Chair f the Advice & Licences Investment Cmmittee. Matthew Lawrance Operatins & Transfrmatin Respnsible fr managing delivery f service functins fr the NAB business, including custmer and adviser servicing, day-t-day administratin and nline services. Emplyee f Natinal Australia Bank Directr f Natinal Management Services Hlder f NAB shares directly and in selfmanaged emplyee incentive plans Paul Carter Superannuatin & Investment Platfrms Respnsible fr the develpment f crprate and retail superannuatin prducts t meet the financial needs f custmers ver their lifetime, frm accumulatin phase t planning fr retirement.. Directr f JANA Investment Advisers Pty Emplyee f Natinal Australia Bank Hlder f NAB shares emplyee incentive plans David Hackett Insurance Respnsible fr the develpment f insurance prducts fr individuals. Directr f MLC Emplyee f Natinal Australia Bank Hlder f NAB shares Sns hld NAB shares emplyee incentive plans Brian Marritt Chief Operating Officer, MLC Nminees Pty Respnsible fr the day-t-day peratins f the Trustee. Respnsible fr ensuring the functins f the Trustee Bard cmply with the relevant laws (eg. The Crpratins Act 2001 and the Superannuatin Industry (Supervisin) Act 1993) and regulatins. Chief Operating Officer f PFS Nminees Pty and NULIS Nminees (Australia) Cmpany Secretary f MLC Nminees Pty, NULIS Nminees (Australia) and PFS Nminees Pty Hlder f NAB shares Spuse is a hlder f NAB shares emplyee incentive plans Emplyee f Natinal Australia Bank Andrew Hagger Grup, NAB Head f the wealth management divisin f Natinal Australia Bank. Directr f MLC Emplyee f Natinal Australia Bank Hlder f NAB shares directly and in selfmanaged emplyee incentive plans Register f Relevant Interests and Relevant Duties: MLC Nminees Pty Page 3 f 5 Date f Register as at 30 June 2016

4 Ken Christie Chief Financial Officer, NAB Respnsible fr the financial management f NAB. Emplyee f Natinal Australia Bank Hlder f NAB shares emplyee incentive plans. Damian Murphy Chief Risk Officer, NAB Respnsible fr crdinating the risk management framewrk fr NAB. Emplyee f Natinal Australia Bank Hlder f NAB shares emplyee incentive plans Simn Martin Audit Respnsible fr leading the NAB audit team which undertakes audit activities n behalf f the Trustee. Emplyee f Natinal Australia Bank Hlder f NAB Shares Eligible fr shrt NAB emplyee incentive plans Garry Mulcahy Asset Management Respnsible fr the develpment and maintenance f investment strategies and investment gvernance framewrks f NAB including JANA Investment Advisers Pty. Emplyee f Natinal Australia Bank Directr f: Antares Capital Partners MLC Investments JANA Investment Advisers Pty NabInvest Capital Partners (NCP) JANA Crprate Investment Services (JCIS) Natinal Management Services Hlder f NAB shares emplyee incentive plans David Jewell RSE Auditr Auditr appinted by the Trustee t audit The Universal Super Scheme. RSE auditr fr The Universal Super Scheme Auditr f MLC Partner f Ernst & Yung Cangie Matera Cmpany Secretary Respnsible fr ensuring the functins f the Trustee 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 Trustee Bard. Day t day representative f the Trustee Bard, assisting and guiding management in matters pertaining t the bard. Cmpany Secretary f: MLC Nminees Pty NULIS Nminees (Australia) PFS Nminees Pty Emplyee f Natinal Australia Bank Hlder f NAB shares emplyee incentive plans Lisa Byce member f the MLC Nminees and PFS Nminees Investment Cmmittee Participates in decisin making f the MLC Nminees and PFS Nminees Investment Cmmittee which has delegated authrity defined by its charter. Member f Trustee Bard Cmmittee Emplyee f Natinal Australia Bank Directr f Fairview Equity Partners Pty Ltd Hlder f NAB shares Eligible fr shrt term NAB emplyee incentive plan Simnne Hgan member f the Disclsure Gvernance Participates in decisin making f the Disclsure Gvernance Cmmittee which has delegated authrity, defined by its charter, frm MLC Nminees Pty. Member f Trustee Bard Cmmittee Emplyee f Natinal Australia Bank Hlder f NAB shares emplyee incentive plans Register f Relevant Interests and Relevant Duties: MLC Nminees Pty Page 4 f 5 Date f Register as at 30 June 2016

5 Rger Rwlinsn Cmmittee Member f the Disclsure Gvernance Cmmittee Participates in decisin making f the Disclsure Gvernance Cmmittee which has delegated authrity, defined by its Charter, frm MLC Nminees Pty Member f Trustee Bard Cmmittee Hlder f NAB shares Member f The Universal Super Scheme Spuse is a member f The Universal Super Scheme Jhn Cmbe member f the MLC Nminees and PFS Nminees Investment Cmmittee Participates in decisin making f the MLC Nminees and PFS Nminees Investment Cmmittee which has delegated authrity defined by its charter. Member f Trustee Bard Cmmittee Emplyee f Natinal Australia Bank Representative f JANA Investment Advisers Pty Ltd Directr f JANA Investment Advisers Pty Ltd Hlder f NAB Shares emplyee incentive schemes GUIDE TO RELEVANT DUTIES The duty that persns listed in this Register have t ther cmpanies/rganisatins are relevant t the duties thse persns have t the Trustee fr the reasns utlined belw: REASON FOR RELEVANCE These cmpanies are ther superannuatin trustees that are gverned by the same Bard f Directrs as the Trustee. In additin t their duties t the Trustee, the persn listed als has a duty t this cmpany. These cmpanies are service prviders t the Trustee. In additin t their duties t the Trustee, the persn listed als has a duty t this cmpany. These cmpanies are prduct prviders t the Trustee. In additin t their duties t the Trustee, the persn listed als has a duty t this cmpany. The cmpany/rganisatin perfrms the functin shwn. In additin t their duties t the Trustee, the persn listed als has a duty t this cmpany/rganisatin. COMPANY OR ORGANISATION NULIS Nminees (Australia) PFS Nminees Pty MLC JANA Investment Advisers Pty Natinal Management Services Ernst & Yung MLC MLC Investments Antares Capital Partners Fairview Equity Partners Pty Ltd NabInvest Capital Partners (NCP) JANA Crprate Investment Services (JCIS) Vanguard Investments Australia: a cmpany that ffers investment prducts directly t investrs and als thrugh superannuatin funds GWM Adviser Services : a member f the NAB grup that prvides services t financial adviser dealerships that are members f the NAB grup Meritum Financial Grup Pty : a member f the NAB grup that prvides training, licensing and supprt services t financial planners Gdfrey Pembrke : a member f the NAB grup that prvides training, licensing and supprt services t financial planners Apgee Financial Planning : a member f the NAB grup that prvides training, licensing and supprt services t financial planners Register f Relevant Interests and Relevant Duties: MLC Nminees Pty Page 5 f 5 Date f Register as at 30 June 2016