Executive Officer Disclosure - MLC and disclosure/fund... · EXECUTIVE OFFICER DISCLOSURE - MLC...

Executive Officer Disclosure

MLC Nominees Pty Limited

October 2014

EXECUTIVE OFFICER DISCLOSURE - MLC NOMINEES PTY LIMITED | SEPTEMBER 2014 2

Introduction

The following pages contain qualification and directorship disclosures, where relevant, of the 21

Executive Officers of MLC Nominees Pty Limited.

Please note that one or more Directors, and other Executive Officers, may also be a Director or

trustee of one or more family or other private entities which are not subject to disclosure.


Nicole Smith Independent Non Executive Director (Chair)

Qualifications:

• Mastering the Boardroom (Order of Merit), Australian Institute of Company Directors 2012

• Graduate, Australian Institute of Company Directors 2008

• Member, Institute of Chartered Accountants in Australia 1993

• Bachelor of Financial Administration, University of New England 1990

Board member experience:

Directorship Directorship duration

Goldman Sachs Australia Managed Funds Limited November 2012 - Current

Westpac RE Limited December 2010 - Current

Teachers Federation Health Ltd September 2010 - Current

NULIS Nominees (Australia) Limited October 2009 - Current

PFS Nominees Pty Limited May 2007 - Current

MLC Nominees Pty Limited November 2006 - Current

Currently Held


Peggy O'Neal Independent Non Executive Director

Qualifications:

• Fellow, Australian Institute of Company Directors 2008

• Diploma in Superannuation Management, Macquarie University 1994

• Professional qualification courses, University of Melbourne 1990

• Juris Doctor, University of Virginia, USA 1976

• Bachelor of Arts, Virginia Polytechnic Institute and State University, USA 1973



Women's Housing Limited June 2013 - Current

Commonwealth Superannuation Corporation July 2011 - Current

MLC Nominees Pty Limited February 2011 - Current

NULIS Nominees (Australia) Limited February 2011 – Current

PFS Nominees Pty Limited

February 2011 - Current

February 2000 - July 2001

Richmond Football Club Limited November 2005 – Current

Retail Responsible Entity Limited February 2012 - February 2014

Tigers in Community Foundation Limited November 2005 – December 2013

FHP Melbourne Superannuation Pty Ltd June 1994 - September 2004

Currently Held

Previously Held


Evelyn Horton Independent Non Executive Director

Qualifications:


• Master of Social Sciences (Economics), National University of Singapore 1995

• Bachelor of Economics, Australian National University 1986



MLC Nominees Pty Limited May 2014 - Current


NULIS Nominees (Australia) Limited May 2014 - Current

Tasmanian Public Finance Corporation August 2012 - Current

Mission Australia November 2011 - Current

Mission Australia Housing July 2011 - Current

Mission Australia Housing (Victoria) April 2011 - Current

Currently Held


Terry McCredden Independent Non Executive Director

Qualifications:

• Proteus Leadership Course, London Business School 2012

• Advanced Management Program, Wharton School of Management, University of Pennsylvania 2001

• Advanced Management Course, Graduate School of Management, University of Melbourne 1988

• Bachelor of Commerce (Honours), University of Melbourne 1978



MLC Nominees Pty Limited May 2014 - Current


NULIS Nominees (Australia) Limited May 2014 - Current

UCA Funds Management Limited December 2013 - Current

UCA Cash Management Fund Limited December 2013 - Current

UCA Growth Fund Limited December 2013 - Current

Trustee, Austral Charitable Trust December 2013 - Current

Infradebt Pty Ltd October 2013 - Current

Churches of Christ Financial Services Limited August 2013 - Current

Maston Pty Ltd December 1999 - Current

Properties Corporation of the Churches of Christ, Victoria and Tasmania January 1989 - Current

Unisuper Management Pty Ltd July 2008 – June 2013

Churches of Christ Community Care April 2007 – March 2012

Association of Superannuation Funds of Australia July 2006 - August 2008

November 1995 – October 1997

Telstra Super Financial Planning Pty Ltd October 2001 – July 2008

Fund Executives Association Ltd November 2003 - November 2006

Currently Held

Previously Held


Trevor Hunt Non Executive Director

Qualifications:

• Bachelor of Business (Accounting), Edith Cowan University 1989



MLC Nominees Pty Limited March 2013 - Current

NULIS Nominees (Australia) Limited March 2013 - Current

PFS Nominees Pty Ltd March 2013 - Current

Ledge Finance Limited May 2008 - Current

Apogee Financial Planning Limited May 2004 – July 2014

August 2003 – February 2004

Godfrey Pembroke Limited August 2003 – July 2014

GWM Adviser Services Limited August 2003 – July 2014

Meritum Financial Group Pty Ltd December 2010 – July 2014

BLSSA Pty Ltd September 2010 - December 2012

Medfin Australia Pty Limited May 2002 - February 2007

National Margin Services Pty Limited December 2003 - January 2005

NMS Nominees Pty Limited December 2003 - January 2005

National Australia Superannuation Pty Limited July 2003 - May 2004

Currently Held

Previously Held


Michael Clancy Non Executive Director

Qualifications:

• Chartered Financial Analyst, Association for Investment Management and Research 1997

• Bachelor of Business (Finance and Economics) University of Technology, Sydney 1992



PFS Nominees Pty Ltd September 2010 - Current

NULIS Nominees (Australia) Limited October 2009 - Current

MLC Nominees Pty Ltd August 2009 - Current

Sydney Anglican Home Mission Society November 2008 - Current

Wealthhub Securities Limited July 2009 - April 2013

Wealthhub Securities Nominees Pty Limited July 2009 - April 2013

NMS Nominees Pty Ltd July 2010 - April 2013

National Margin Services Pty Ltd July 2010 - April 2013

Invia Custodian Pty Limited March 2011 - June 2012

I.C. Nominees Pty Ltd March 2011 - June 2012

New College Limited April 2007 - March 2011

Plum Financial Services Limited July 2009 - August 2010

JANA Investment Advisers Pty Limited October 2005 - August 2010

National Corporate Investment Services Limited May 2004 - December 2009

National Asset Management Limited May 2004 - December 2009

NAFM Investments Pty Limited May 2004 - January 2008

Currently Held

Previously Held


John Reid Non Executive Director

Qualifications:


• Fellow, Institute of Actuaries of Australia 1992

• Fellow, Institute of Actuaries in London 1979

• Bachelor of Science (Mathematics and Physics), Sussex University England 1971



PFS Nominees Pty Limited September 2010 - Current

NULIS Nominees (Australia) Ltd October 2009 - Current

MLC Nominees Pty Limited February 2009 - Current

Currently Held

John Reid (1 of 2)


John Reid Non Executive Director


National Margin Services Pty Limited July 2010 - June 2013

NMS Nominees Pty Limited July 2010 - June 2013

Wealthhub Securities Limited March 2001 - June 2013

Wealthhub Securities Nominees Pty Limited March 2001 - June 2013

Invia Custodian Pty Limited March 2011 - June 2012

I.C. Nominees Pty Ltd March 2011 - June 2012

Your Prosperity Limited January 1998 - April 2009

MLC Lifetime Company Limited June 2003 - November 2006

GWM Advisor Services Limited October 1995 - June 1999

Apogee Financial Planning Limited October 1992 - June 1999

The Investment Network (Australia) Pty Limited January 1992 - June 1998

Protection and Investment Planners Pty Ltd January 1992 - April 1997

Lend Lease Insurance Pty Limited October 1994 - October 1995

MLC Limited October 1994 - October 1995

Australian Eagle Life Limited December 1992 – October 1995

Milegrove Pty Ltd February 1993 - May 1995

Bond-Tech Financial Services Limited December 1992 - May 1995

Living Insurance (Queensland) Pty Ltd November 1992 - May 1995

The Institute of Actuaries of Australia December 1991 - December 1994

Australian Eagle Nominees Pty Limited November 1992 - April 1994

Eagle Star Custodians Limited November 1991 - June 1993

The Farmers & Settlers Insurance Co of Australia Ltd January 1992 - August 1992

Profco Financial Services Pty Limited November 1991 - July 1992

EST Limited June 1986 - July 1992

QBE Insurance (Australia) Limited January 1987 - February 1991

QBE Group (Investments) Limited June 1986 - February 1991

QBE IT Services Pty Limited June 1986 - February 1991

Previously Held

Board member experience (Continued):

John Reid (2 of 2)


Paul Fog Executive Member of the Investment & Product Governance Committee

Qualifications:

• Certified Financial Planner (CFP) Program (currently completing)

• Diploma of Financial Planning 2002

• Bachelor of Laws, Bond University 1993



NA NA


Dean Thomas Executive Member of the Investment & Product Governance Committee

Qualifications:

• Master of Laws, University of Sydney 1994

• Solicitor, Supreme Court of New South Wales 1986

• Bachelor of Laws, University of NSW 1986

• Bachelor of Commerce (Accounting Finance and Systems), University of NSW 1985



Affiliation of Superannuation Practitioners Limited April 2013 - Current

Association of Superannuation Funds of Australia Limited (ASFA) November 2011 – Current Currently Held


Gregory Miller Executive Member of the Investment & Product Governance Committee

Qualifications:

• Advanced Diploma Financial Services 2006



Apogee Financial Planning Limited February 2011 - Current

GWM Adviser Services Limited February 2011 – Current

Meritum Financial Group Pty Ltd December 2010 - Current

Godfrey Pembroke Limited January 2001 - Current

Calibre Asset Management Limited November 2009 - September 2013

ThreeSixty Ltd January 2001 - September 2005

Godfrey Pembroke Financial Services Ltd January 2001 - April 2005

Currently Held

Previously Held


Andrew Gale Non Executive Member of the Investment & Product Governance Committee

Currently Held

Qualifications:

• Bachelor of Arts – (Actuarial major) : 1978

• Fellow of the Institute of Actuaries of Australia (‘81)

• MBA (Awarded Allan Knott University Medal)


Andrew Gale (1 of 2)


Apogee Financial Planning Limited May 2014 - Current

Godfrey Pembroke Limited May 2014 - Current

GWM Adviser Services Limited May 2014 - Current

Meritum Financial Group Pty Ltd May 2014 - Current

Australian Society For Progress And Wellbeing Limited February 2014 - Current

Chase Corporate Advisory Pty Ltd September 2012 - Current

Gale Force Advisory Pty Limited August 2012 - Current

SMSF Professionals' Association of Australia Limited March 2012 - Current

Berenton Pty Ltd June 1998 - Current


Andrew Gale Non Executive Member of the Investment & Product Governance Committee


Previously Held

Andrew Gale (2 of 2)


Compound Investments Pty Ltd May 2011 – November 2011

Count Finance Pty Limited April 2010 – November 2011

Count Financial Limited April 2010 – November 2011

Count Funds Management Pty Ltd November – 2010 – November 2011

Count Investments Pty Ltd April 2010 – November 2011

Count Legal Pty Ltd April 2010 – November 2011

Count Property Pty Ltd April 2010 – November 2011

Count Pty Ltd April 2010 – November 2011

Finconnect (Australia) Pty Ltd April 2010 – November 2011

Change GPS Pty Ltd April 2010 – June 2011

Total Financial Solutions Australia Limited April 2010 – November 2010

Deloitte Actuaries & Consultants Limited November 2001 – March 2010

The Institute of Actuaries of Australia December 2000 – December 2005

Optus Superannuation Pty Limited February 1999 – May 2000

A.M.P. Workers' Compensation Services (N.S.W.) Limited July 1997 – September 1998

Harrington Sound Limited July 1997 – September 1998

QBE Lenders' Mortgage Insurance Limited July 1997 – September 1998

TGI Australia Limited July 1997 – September 1998

Australian Securities Administration Limited June 1993 – June 1997

Priority One Financial Services Limited December 1996 – June 1997

Hillross Financial Services Limited January 1994 – June 1997

AMP Superannuation Limited July 1994 – February 1997

AMP Financial Planning Pty Limited January 1994 – November 1996

A.C.N. 063 600 260 Pty Limited July 1994 – November 1996

National Small Business Centre Limited June 1994 – October 1995

The Employee Share Company Limited April 1994 – July 1995

MLC Building Society Limited August 1989 – December 1992

Lend Lease Learning Pty Limited May 1990 – May 1991


Richard Louis Morath Non Executive Member of the Investment & Product Governance Committee

Currently Held

Qualifications:

• Bachelor of Arts

• Fellow of the Institute of Actuaries – London and Australia

• Associate of the Securities Institute of Australia


Richard Morath (1 of 2)


The Balmoral Beach Club Limited September 2013 – Current

Meritum Financial Group Pty Ltd December 2010 – Current

JANA Investment Advisers Pty Ltd August 2010 – Current

Platinum Capital Limited March 2009 – Current

National Australia Trustees Ltd April 2002 – Current

Apogee Financial Planning Limited January 2001 – Current

GWM Adviser Services Limited January 2001 – Current

Godfrey Pembroke Limited July 1999 – Current

MLC Alliance Holdings Pty Limited December 2009 – July 2014

PLUM Financial Services Limited May 1998 – July 2014

MLC Nominees Pty Ltd April 2002 – December 2012

NULIS Nominees (Australia) Limited October 2009 – December 2012

PFS Nominees Pty Ltd December 2002 – December 2012

Medfin Australia Pty Limited February 1996 – November 2009

Bourke Street Nominees Pty Ltd April 2002 – April 2009

PLUMFS Limited November 1998 – February 2007

National Australia Superannuation Pty Ltd April 2002 – November 2006

ThreeSixty Limited January 2001 – September 2005

Godfrey Pembroke Financial Services Limited July 1999 – May 2005

Firs&t Pty Limited July 1999 – April 2002

Lend Lease Property Securities Management Pty Ltd July 2000 – December 2001

Previously Held


Richard Louis Morath Non Executive Member of the Investment & Product Governance Committee


Previously Held

Richard Morath (2 of 2)


Heritage Management Limited July 1999 – February 2001

Australian Eagle Life Limited October 1995 – June 2000

MLC Limited October 1995 – June 2000

LL Employee Holdings Custodian Pty Limited June 1998 – June 2000

ESAP Pty Limited June 1992 – December 1999

Serenia Pty Limited December 1992 – December 1999

MLC Investments Limited February 1992 – December 1999

CFG Nominees Pty Ltd March 1998 – October 1999

Australian Eagle Nominees Pty Limited March 1998 – October 1999

The Institute of Actuaries of Australia December 1997 – June 1999

Lend Lease Insurance Pty Limited October 1995 – August 1998

Investmentlink Pty Limited September 1994 – October 1996

Investment Funds Association of Australia Limited June 1994 – August 1996

Capita Managed Funds Ltd July 1990 – February 1995

Equitycredit Pty Limited August 1989 – June 1993

Open Option Pty Limited August 1989 – June 1993

Percentage Plus Pty Limited August 1989 – June 1993

Supermortgage Pty Limited August 1989 – June 1993

MLC Building Society Limited August 1989 – June 1993

MLC Computer Pty Limited April 1992 – May 1993

Resimac Limited July 1989 – November 1992

Lend Lease Funds Management Limited October 1990 – May 1992

MLC Holdings Limited May 1990 – October 1990

Australian Bank Pty Limited Ceased April 1989

Freesia Pty Limited Ceased February 1989

Sparad (No27) Pty Limited October 1988 – January 1989

Australis Assets Pty Ltd Ceased March 1988

Chosun Pty Limited Ceased November 1986


Brian Marriott Chief Operating Officer, MLC Nominees Pty Limited


CFG Nominees Pty Limited February 2005 - May 2006

Qualifications:

• N/A


Previously Held

EXECUTIVE OFFICER DISCLOSURE - MLC NOMINEES PTY LIMITED |SEPTEMBER 2014 19

Andrew Hagger Group Executive, NAB Wealth


WM Life Australia Limited May 2013 - Current

October 2009 - October 2010

MLC Lifetime Company Limited May 2013 - Current

April 2009 - October 2010

MLC Limited May 2013 - Current


National Australia Financial Management Ltd May 2013 - Current


Plum Financial Services Limited July 2014 - Current

Financial Services Council Limited March 2013 - Current

Navigator Australia Limited

May 2013 – July 2014

October 2009 - October 2010

MLC Investments Ltd

May 2013 – July 2014


MLC Wealth Management Limited October 2009 – July 2014

National Wealth Management Holdings Ltd April 2009 – July 2014

MLC Holdings Limited April 2009 – July 2014

National Councillor, Australian Business Arts Foundation January 2012 - December 2012

Centre for Books, Writing and Ideas December 2008 - September 2011

Melbourne Jazz Limited August 2008 - August 2011

Australian Company Number 094 484 625 Limited August 2009 - September 2010

National Wealth Management Services Limited August 2009 - September 2010

JANA Investment Advisers Pty Limited July 2008 - August 2010

Wealthhub Securities Limited July 2008 - August 2009

Wealthhub Securities Nominees Pty Limited July 2008 - August 2009

National Australia Investment Capital Limited September 2008 - July 2009

The Global Foundation May 2006 - November 2008

Christian Schools Australia Limited March 2006 - February 2007

Pricewaterhouse Coopers Securities Ltd April 2001 - March 2005

Trustee of the Committee for Economic Development of Australia 2004 - 2005

Currently Held

Qualifications:

• Fellow, Institute of Chartered Accountants 2010

• Masters of Applied Finance, Macquarie University 1997

• Bachelor of Economics, University of Adelaide 1987


Previously Held


Paul Carter Executive General Manager, Corporate & Institutional Wealth

Qualifications:

• Master of Business Administration, Harvard Business School 2002

• Bachelor of Commerce (Honours), University of Melbourne 1996



JANA Investment Advisers Pty Limited September 2013 - Current

Vynotas Pty Ltd December 2009 - Current

Board member, Etchepare Foundation March 2008 - Current

WM Australia Pty Limited December 2009 – July 2014

WM Group Pty Limited December 2009 – July 2014

National Wealth Management International Holdings Ltd August 2009 – July 2014

National Wealth Management Services Limited August 2009 - July 2014

Australian Company Number 094 484 625 Ltd August 2009 - July 2014)

NZI Leasing Corporation Pty Limited December 2009 - December 2009

PFS Nominees Pty Limited November 2008 - September 2009

Plum Financial Services Ltd October 2008 - July 2009

Currently Held

Previously Held


David Hackett Executive General Manager, Retail Wealth Products

Qualifications:

• Master of Business Administration (Executive), Australian Graduate School of Management, University of NSW 1998

• Diploma in Financial Markets, FINSIA 1989

• Bachelor of Commerce, University of Melbourne 1983



MLC Lifetime Company Limited January 2014 - Current

MLC Limited January 2014 - Current

National Australia Financial Management Limited January 2014 - Current

WM Life Australia Limited January 2014 - Current

Plum Financial Services Limited July 2014 - Current

Big Brothers Big Sisters Australia Ltd March 2012 - Current

MLC Investments Limited January 2014 – July 2014

Navigator Australia Limited January 2014 – July 2014

Metrics Credit Partners Pty Ltd October 2011 – July 2014

Aozora Bank Limited (Japan) June 2008 - February 2009

Currently Held

Previously

Held


Matthew Lawrance Executive General Manager, Wealth Operations

Qualifications:

• Master of Business Administration (Executive), Australian Graduate School of Management 2003

• Member, Institute of Chartered Accountants in Australia 1990

• Bachelor of Commerce (Accounting), University of NSW 1987



National Wealth Management Services Limited June 2014 - Current

Australian Company Number 094 484 625 Limited June 2014 - Current Currently Held


Garry Mulcahy Executive General Manager, Asset Management

Qualifications:

• Bachelor of Arts (Economics), UNSW 1985



Nabinvest Capital Partners Pty Limited December 2010 - Current

National Asset Management Limited December 2009 - Current


Pengana Holdings Pty Ltd April 2008 - Current

Elly Investments Pty Ltd December 2007 - Current

NWMH SUB Ltd October 2007 - Current

Jana Corporate Investment Services Limited December 2009 – Current

Nab Asset Management Limited November 2008 - Current

Antares Capital Partners Limited July 2014 - Current

Jana Investment Advisors Pty Limited August 2014 – Current

MLC Investments Limited July 2014 – Current

Navigator Australia Limited July 2014 – Current

National Corporate Investment Services Limited December 2009 – July 2014

Nabinvest Holdings Limited November 2008 – July 2014


Currently Held

Garry Mulcahy (1 of 2)

Previously Held


Garry Mulcahy Executive General Manager, Asset Management



A.C.N. 083 784 463 Limited July 2013 - March 2014

Nabinvest Managed Investments Limited July 2013 - March 2014

Antares Capital Partners Ltd October 2011 - July 2013

AREA Management Holdings LLC March 2011 - July 2013

Fairview Equity Partners Pty Ltd August 2008 - July 2012

Northward Capital Pty Ltd Nov 2007 - July 2012

Portfolio Partners Pty Limited October 2011 - February 2012

National Australia Insurance Services Limited October 2002 - July 2007

MLC Nominees UK Limited March 2005 - June 2007

National Wealth Management Europe Services Limited May 2004 - June 2007

National Wealth Management Europe Holdings Limited November 2003 - June 2007

Yorkshire Bank Financial Services Limited October 2003 - June 2007

Clydesdale Bank Insurance Brokers Limited October 2003 - June 2007

Intercede 1626 Limited October 2002 - June 2007

MLC Trust Management Company Limited October 2002 - June 2007

MLC Savings Limited October 2002 - June 2007

National Europe Holdings (Wealth Management) Limited September 2002 - June 2007

Northern Bank Insurance Services Limited October 2003 - February 2005

National Australia Group Europe Limited January 2004 - June 2004

National Australia Life Company Limited October 2002 - December 2003

NAFM Investments Pty Ltd February 2001 - July 2002

Your Prosperity Limited February 2001 - July 2002

Godfrey Pembroke Limited October 1999 - July 2002

Godfrey Pembroke Financial Services Limited October 1999 - July 2002

Apogee Financial Planning Limited July 1999 - July 2002

Threesixty Limited July 1999 - July 2002

GWM Adviser Services Limited July 1999 - July 2002

Medfin Australia Pty Limited December 2000 - May 2002

FIRS&T Pty Limited October 1999 - April 2002

Flexiplan Australia Limited July 1999 - November 2001

Heritage Management Limited October 1999 - February 2001

Previously Held

Garry Mulcahy (2 of 2)


Ken Christie Chief Financial Officer, NAB Wealth

Qualifications:

• Fellow, CPA Australia 2010

• Advanced Management Program, Harvard Business School 2007

• Master of Business Administration, Melbourne Business School, University of Melbourne 1999

• Bachelor of Business (Banking and Finance), Victoria University 1995



NA NA


Damian Murphy Chief Risk Officer, NAB Wealth

Qualifications:

• Admitted to Supreme Court of New South Wales and Federal Court of Australia 2005

• Master of Law, University of Melbourne 1998

• Admitted to Supreme Court of Victoria 1986

• Bachelor of Laws, Monash University 1985

• Bachelor of Economics (Honours), Monash University 1983

Board member experience: Directorship Directorship duration

Caroline Chisholm Centre for Health Ethics November 1998 - Current

Equity Management Unit Holdings Pty Ltd March 2010 - May 2014

National Nominees Limited October 2009 - May 2014

Currently Held

Previously Held


Amanda Morgan General Manager, Audit

Qualifications:

• Graduate Certificate in Change Management, Australian Graduate School of Management 2012


• Graduate Diploma of Company Secretarial Practice, Chartered Secretaries Association of Australia 2005

• Master of Business Administration (Executive), Australian Graduate School of Management 2004

• Diploma of Superannuation Management, Australian Superannuation Funds Association 1998

• Bachelor of Laws (First Class Honours), University of Technology Sydney 1995

• Bachelor of Communications, University of Technology Sydney 1987


Directorships Directorship duration

St Catherines Aged Care Services February 2010 - February 2012 Previously Held

Executive Officer Disclosure - MLC and disclosure/fund... · EXECUTIVE OFFICER DISCLOSURE - MLC...

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