ASIC Complaint 6

8/12/2019 ASIC Complaint 6

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6

NAGFE AKA^D_ MGOB_ ]^GMOKD Cftcnar >, >076

]ea fegrts akfgpsubgta tea munocus trgmokd gftovoty tegt os avomakt gfrcss gbb trgmokd ravoawam lcr tea 6>GVU fchpgkoas. ]ea nrcjars eodebodetam gs g sabbokd drcup gncva, gffcuktam lcr 5=% cl gbb segra profa lgbbsnut wote g vary shgbb ghcukt cl sabbokd natwaak teah. ]ea nuyokd prclobas forfbam gra gbsc eodeby munocus,weara nrcjars wote ckby g shgbb nuyokd prasakfa egva naak suffasslub ok pofjokd up bgrda kuhnars clfeagpar Mcwktofj trgksgftocks. MHDs sabbokd gkm FO]Os nuyokd os gkchgbcus lcr mollarakt ragscks, gsbgrda vcbuhas cl sabbokd gkm nuyokd egva cffurram wote hokohgb ohpgft tc profas.

]ea ?< sats cl fegrts ok Vaftock 7.1 gra gbb sohobgr tc tea axghpba gncva, tc vgryokd madraas, gkm fbagrbymahckstrgta tea gnoboty cl gbdcrotehs tc mostronuta trgmas natwaak masodkgtam sabbars gkm pralarramnuyars. ]ea pgttarks hgja ot aktoraby pcssonba lcr secrt sgbas tc na gppboam wotecut ohpgft tc profas, lcrprofas tc na tgjak bcwar ny strgtadof sabbokd & nuyokd, gkm lcr secrt sgbas tc na fcvaram gdgok wotecut profaohpgft. Ol sc, teak tea mgtg hgy na mahckstrgtokd ecw tea GVU os naokd systahgtofgbby rcrtam ny tea bgrdaokstotutocks gkm eamda lukms wec pby teaor trgma vog munocus gbdcrotehof trgmokd prcdrghs fchnokam wotefcbbusova secrt sabbokd ngsam trgmokd gdakmgs.

]ea sotugtock hgy eabp tc axpbgok ecw $4> nobbock wgs stroppam lrch tea hgrjat tercude secrt sabbokd ngfj

ok >077/>07> 2 Vecrt sabbars rokd up $4>nk prclot cvar 75 hcktes ; gkm wey tea GVU egs naak eabm ngfjsokfa tea DLF weoba QV hgrjats egva lcrdam geagm maspota tea Gustrgbogk afckchy naokd ok g hufeeagbteoar stgta. Oktarkgtockgb oktarasts hgy wabb na sfgbpokd tea GVU gkm tgrdatokd ratgob gkm paksock lukmsok tea prcfass, gkm wote rafakt rapcrts sufe gs 2QV eamda lukms gra bokokd up Gustrgbogk ngkjs; teaprcfass bccjs gs tecude ot os sat tc fcktokua.

]ea rasagrfe mgtg fartgokby mahckstrgtas tegt GVU trgmokd os lgr rahcvam lrch raprasaktokd lgor profamosfcvary tercude tea kgturgb lcrfas cl suppby gkm mahgkm natwaak dakuoka nuyars gkm dakuoka sabbars. Glgor hgrjat wcubm ralbaft nuyokd gkm sabbokd prclobas tegt gra hufe hcra ok ngbgkfa lcr tea hgicroty cl

trgmokd tgjokd pbgfa tegk os tea fgsa lcr tea 6> fchpgkoas ravoawam.]ea trgmokd ossuas omaktoloam gra fbagrby systahof ok sfcpa gkm egva akcrhcus ohpbofgtocks lcr hgrjatoktadroty. Gk allaftova radubgtcry raspcksa os urdaktby kaamam nafgusa gs ot stgkms, okvastcrs magbokd cktea GVU gra ukjkcwokdby magbokd wote g hgrjat tegt os vary sunstgktogbby fchprchosam.

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars% cl Gbb Vabbokd

N^CJA^ VABBOKD P^CLOBAV N^CJA^ NQ_OKD P^CLOBAV

Eodeby MunocusVabbok Prclobas

Eodeby MunocusVabbok Prcloba

Eodeby MunocusNuyokd Prclobas

Eodeby MunocusNuyokd Prcloba
http://www.theaustralian.com.au/business/markets/short-sellers-ring-up-72bn-profit-over-18-months/story-e6frg916-1226258831302http://www.google.com.au/url?sa=t&rct=j&q=&esrc=s&frm=1&source=web&cd=1&ved=0CD4QFjAA&url=http%3A%2F%2Fwww.businessspectator.com.au%2Farticle%2F2013%2F11%2F8%2Ffinancial-services%2Fus-hedge-funds-are-lining-australian-banks&ei=WqeSUt2_BYiAiQfJ6IDwCA&usg=AFQjCNGXAUPwVxeuKQzin-Ub0ONGaRFNhw&bvm=bv.56988011,d.aGc&cad=rjthttp://www.google.com.au/url?sa=t&rct=j&q=&esrc=s&frm=1&source=web&cd=1&ved=0CD4QFjAA&url=http%3A%2F%2Fwww.businessspectator.com.au%2Farticle%2F2013%2F11%2F8%2Ffinancial-services%2Fus-hedge-funds-are-lining-australian-banks&ei=WqeSUt2_BYiAiQfJ6IDwCA&usg=AFQjCNGXAUPwVxeuKQzin-Ub0ONGaRFNhw&bvm=bv.56988011,d.aGc&cad=rjthttp://www.google.com.au/url?sa=t&rct=j&q=&esrc=s&frm=1&source=web&cd=1&ved=0CD4QFjAA&url=http%3A%2F%2Fwww.businessspectator.com.au%2Farticle%2F2013%2F11%2F8%2Ffinancial-services%2Fus-hedge-funds-are-lining-australian-banks&ei=WqeSUt2_BYiAiQfJ6IDwCA&usg=AFQjCNGXAUPwVxeuKQzin-Ub0ONGaRFNhw&bvm=bv.56988011,d.aGc&cad=rjthttp://www.google.com.au/url?sa=t&rct=j&q=&esrc=s&frm=1&source=web&cd=1&ved=0CD4QFjAA&url=http%3A%2F%2Fwww.businessspectator.com.au%2Farticle%2F2013%2F11%2F8%2Ffinancial-services%2Fus-hedge-funds-are-lining-australian-banks&ei=WqeSUt2_BYiAiQfJ6IDwCA&usg=AFQjCNGXAUPwVxeuKQzin-Ub0ONGaRFNhw&bvm=bv.56988011,d.aGc&cad=rjthttp://www.theaustralian.com.au/business/markets/short-sellers-ring-up-72bn-profit-over-18-months/story-e6frg916-1226258831302


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=

FCK]AK]V

7.7 ]EA GPP^CGFE GMCP]AM N_ ÂVAG^FE Pd. 1

7.> MQNOCQV ]^GMOKD ]ÂKMV OMAK]OLOAM Pd. 4

7.>.7 Eode Bavabs cl M]s Vabbs Vhgbb bavabs cl Vabbokd Pd. 5

7.>.> Bcw Bavabs cl M]s Vabbs Eode bavabs cl Vabbokd Pd. 70

7.>.6 Eode Bavabs cl M]s Nuys Vhgbb bavabs cl Nuyokd Pd. 77

7.>.= Bcw Bavabs cl M]s Nuys Eode bavabs cl Nuyokd Pd. 7>

7.>.1 Axghpbas cl Hgkopubgtova ]rgmokd ]rakms Cvarbccjam ny tea âdubgtcr Pd. 76

7.>.< Lurtear Axghpbas Pd. 71

7.6 G Â\OAT CL OKMO\OMQGB N^CJA^ ]^GMOKD P^CLOBAV Pd. 7 Vodkolofgkt Bavabs clVabbokd ]akmokd tc Gvcom Bcwar Profas Pd. 7?

7.6.6 Bcw Bavabs cl Nuyokd gnba tc fgptura M] ]rgmas Pd. >>

7.6.= Vodkolofgkt Bavabs clNuyokd Hossokd Cut ck M] ]rgmas Pd. >4

7.= GKGB_VOV CL N^CJA^ ]ÂKMV OMAK]OLOAM GF^CVV GBB GVU ]^GMOKD Pd. >6

7.=.7 Oktrcmuftock Pd. >=

7.=.> Fchnokam Nrcjar Vabbokd Prcloba Gvargdas Pd. >1

7.=.6 Fcktrcb Cvar Profokd Bavabs tercude Bcw \cbuhas cl Vgbas Pd. >5

7.1 ]EA MGOB_ FEG^]V CL ]EO^]_-]TC GVU >00 FCHPGKOAV - Cftcnar >076 Pd. 60


5/62

1

7.7 ]EA GPP^CGFE GMCP]AM N_ ÂVAG^FE

G skgpsect cl trgmokd ossuas ohpgftokd g sodkolofgkt sghpba cl teorty-twc GVU >00 fchpgkoas, egs naakcntgokam ny gssassokd trgmokd ck 6 sapgrgta mgys tercudecut Cftcnar >076.

Nrcjar trgmokd mgtg egs naak suhhgrozam lcr agfe fchpgky ck Cftcnar 7, Cftcnar 71 gkm Cftcnar 67, tcprcvoma9

g fchpgrosck cl Mcwktofjs rafcrmam ny agfe nrcjars gs g sabbar, gkm g fchpgrosck cl tea cvargbbbavab cl sabbokd suppboam ny agfe nrcjar tc tea hgrjat: gkm,

g fchpgrosck cl Mcwktofj trgmas pofjam up ny agfe nrcjar gs nuyars, wote tea cvargbb bavab clnuyokd suppboam ny agfe nrcjar tc tea hgrjat.

]ea fchpgkoas ravoawam ok rabgtock tc Cftcnar >076 trgmokd gra bostam ok tea tgnba nabcw.

KATFÂV] HOKOKD KFH Vaftock 7.1.7 Pd. 67TEO]AEG\AK FCGB TEF Vaftock 7.1.> Pd. 6>AFEC AK]A^]GOKHAK] ADP Vaftock 7.1.6 Pd. 66VOÔQV ÂVCQ^FAV VO^ Vaftock 7.1.= Pd. 6=LC^]AVFQA HOKOKD LHD Vaftock 7.1.1 Pd. 61OBQJG ÂVCQ^FAV OBQ Vaftock 7.1.< Pd. 6 Pd. =>BAODE]CK HOKOKD BAO Vaftock 7.1.76 Pd. =6

FV] BOHO]AM FV^ Vaftock 7.1.7= Pd. ==D^GOKFC^P DKF Vaftock 7.1.71 Pd. =1FVB BOHO]AM FVB Vaftock 7.1.7< Pd. =0 Pd. 10JOKDVDG]A FCKVCBOMG]AM JFK Vaftock 7.1.>7 Pd. 17TCCMVOMA PA]^CBAQH TPB Vaftock 7.1.>> Pd. 1>EG^\A_ KC^HGK E\K Vaftock 7.1.>6 Pd. 16PGK GQV]^GBOG PKG Vaftock 7.1.>= Pd. 1=PGBGMOK PMK Vaftock 7.1.>1 Pd. 11PGFOLOF Nrgkms BOHO]AM PND Vaftock 7.1.>< Pd. 14 Pd. 14VGKMLOÂ ÂVCQ^FAV VL^ Vaftock 7.1.>5 Pd. 15CY HOKA^GBV CYB Vaftock 7.1.>? Pd. 1?VOB\A^ BGJA ÂVCQ^FAV VB^ Vaftock 7.1.60 Pd. fchpgkoas ravoawam. ]ea gkchgboas gratea rasubt cl eodeby munocus oktargftocks natwaak gutchgtam trgmokd gbdcrotehs gkm gra ragmoby cnsarvgnbaok tea mgoby fegrts prcvomam ok Vaftock 7.1

Ohpcrtgktby, gnarrgkt trgmokd trakms gra kct gnba tc na axpbgokam ok tarhs cl badotohgta hgrjat gftovotyngsam ck gssuhptocks sufe gs9


6/62

00fchpgkoas secws tegt tea sabbokd ny pgrtofubgr nrcjars os gbhcst gbwgys masodkam tc bcwar profas gs hufegs pcssonba, gkm os kct strufturam tc gfeoava tea nast pcssonba raturk lrch sgbas.

]ea bcwarokd cl profas os gfeoavam ny nrcjar gbdcrotehs naokd tukam sc gs tc dakargta bgrda kuhnars clshgbb trgmas tegt rasubt ok g lgbb ok tea segra profa (o.a., bgrda kuhnars cl Mcwktofj trgksgftocks). Cltak tea

bgrda kuhnars cl shgbb trgmas raprasakt fchpgrgtovaby hokcr vcbuhas cl segras cvargbb, yat tea styba clsabbokd fragtas hgxohuh profa ohpgft.

Gk ohpcrtgkt cutfcha cl rasagrfe oktc g bgrda kuhnar cl GVU stcfjs os tegt FuMafc trgmokd os saak tcraprasakt iust tea top cl gk axtrahaby bgrda ofanard weak ot fchas tc segra profa hgkopubgtock ossuas.Hcracvar, teara gra ctear fchpgkoas tegt egva naak ohpgftam ny eodeby munocus trgmokd prgftofas tc gdragtar axtakt tegk FuMafc.

Hgkopubgtova trgmokd os ohpbahaktam tercude sattokds gppboam tc trgmokd gbdcrotehs gkm ny mostronutokdnuyokd gkm sabbokd gfrcss hubtopba nrcjars. Ot cltak rasubts ok hokohgb fegkda tc nakalofogb cwkarseop gsrasagrfe oktc FuMafc egs secwk. ]ea prgftofa egs bam tc g hgrjat akvorckhakt tegt os eagvoby fchprchosamgkm lgr rahcvam lrch wegt ot os eabm up tc na.

Vaftock 7.6^asagrfe oktc trgmokd mgtg strckdby suddasts tegt tea GVU os kct tea lgor, trgkspgrakt hgrjat pbgfagmvartosam ny GVOF ok gbb cl teaor cllofogb duomgkfa gkm gbb okvastcrs kaam tc na lubby gwgra cl tea sotugtock.
http://www.lexology.com/library/detail.aspx?g=ee9f417f-75cc-4d20-9717-ebac1fdd70e4http://www.lexology.com/library/detail.aspx?g=ee9f417f-75cc-4d20-9717-ebac1fdd70e4


7/62

4

Vaftock 7.>

MQNOCQV ]^GMOKD ]^AKMV OMAK]OLOAM

]ea trgmokd mgtg fegrts lcr tea teorty-twc GVU>00 fchpgkoas prcvomam ok Vaftock 7.1 gbb raprasakt fckfarkstegt gra rabgtam tc segra profa hgkopubgtock gkm hgrjat oktadroty ossuas.

]ea fckfarks okfbuma9

c trgmokd tegt os gnba tc gfeoava uklgor fcktrcb cvar profas,c tea fragtock gkm hgoktakgkfa cl grtolofogb profas, gkm,c fcbbusock ny aktotoas cpargtokd nuyokd gkm sabbokd gbdcrotehs tercude hubtopba nrcjars.

]ea vgrocus fegrtokd trakms tegt lbgd hgrjat oktadroty fckfarks egva naak fgtadcrozam gs lcbbcws9

7.>.7 ^amufam sabbokd vcbuhas gsscfogtam wote bgrda kuhnars cl Mcwktofjs

7.>.> Vtrckd bavabs cl sabbokd tegt egs takmam tc gvcom Mcwktofjs ok profa

7.>.6 Bcw bavabs cl nuyokd tegt gttrgfts bgrda kuhnars cl Mcwktofj trgmas

7.>.= Vtrckd bavabs cl nuyokd tegt egs takmam tc hoss cut ck Mcwktofj purfegsas

]ea typas cl trgmokd omaktoloam gssost ok eodebodetokd systahof ossuas tegt gra ohpgftokd stcfjs gfrcss teaaktora GVU.

]ea ossuas gra cnsarvgnba gs gkchgbcus trgmokd trakms kct gmaqugtaby axpbgokam lrch gssuhptocks tegttea hgrjat raprasakts lgor axfegkdas natwaak dakuoka nuyars gkm dakuoka sabbars. Lgor hgrjats wcubmrasubt ok hufe hcra fcrrabgtock natwaak nrcjar nuyokd gkm sabbokd prclobas gkm tea kuhnar cl Mcwktofjtrgksgftocks teay wara gsscfogtam wote, pgrtofubgrby ok mgtg tgjak cvar axtakmam parocms cl toha.

Ohpcrtgktby, scha nrcjars egva naak secwk tc cpargta ok pgrtofubgr wgys cvar axtakmam parocms cl toha,orraspaftova cl tea stcfjs gftugbby trgmam. ]ea trgmokd pgttarks rasubt lrch tea sattokds fecsak lcrprcproatgry gbdcrotehs weara lcr axghpba scha nrcjars gbhcst gbwgys trgma sc gs tc fgusa bcwar profas.

]egt styba cl trgmokd suddasts teay gra naokd usam gs gdakts tc ohpbahakt trgmokd gdakmgs wote aktotoastgjokd tea ctear soma cl trgmas tercude ctear nrcjars.


8/62

5

7.>.7 ]^GMOKD TEAÂ VHGBB \CBQHAV CL VABBOKD EGV ÂVQB]AM OK BG^DA KQHNA^V CL PÔFA LGBBV

]ea 10 hcst gkchgbcus trgmas gfrcss gbb fchpgkoas ravoawam tercudecut Cftcnar gra suhhgrozam nabcw.]ea sabbokd egs rasubtam ok bgrda kuhnars cl mcwkwgrm profa hcvahakts gkm fbagrby egskt naak hctovgtamny gttahptokd tc rafaova tea nast pcssonba raturks lcr segras scbm. Ol prcparby gssassam gkm nrcudet nalcratea fcurts teara os avary fegkfa tegt nrcjars mabonargtaby sabbokd ok g hgkkar tc kadgtovaby ohpgft profas

wcubm na rubam gs naokd hgkopubgtova.Ot os ragsckgnba tegt ck gky dovak mgy g maspargta sabbar kaamokd tc axot g pcsotock fcubm eagvoby (gkmbadotohgtaby) ohpgft profas. Ecwavar tea sabbokd omaktoloam ny rasagrfe os lcr pgrtofubgr nrcjars tc akdgda oksabbokd tegt gbhcst gbwgys fgusas profa lgbbs orraspaftova cl weofe stcfj teay gra trgmokd ok, gkm tea pgttarksgra rapagtam fcktokucusby lrch cka mgy tc tea kaxt. ]ea bgrda kuhnars cl profa lgbbs tegt gffchpgky shgbbsabbokd vcbuhas fcha gncut tercude tea purpcsalub tukokd cl gbdcrotehs tc dakargta bgrda kuhnars clshgbb Mcwktofj trgmas tercude t rgksgftocks wote gllobogta trgmokd pgrtkars cr tercude nrcjar frcssokds

Ok tea fegrt tegt lcbbcws, tea bagmokd >1 hcst gkchgbcus trgmas ghckdst tea 6> fchpgkoas ravoawam gra

omaktoloam ny ncte tea mgy teay cffurram gkm ny tea nrcjar raspcksonba.

0%

70%

>0%

60%

=0%

10%

1 Gkchgbcus Prclobas


9/62

?

]ea kaxt >1 hcst gkchgbcus nrcjar sabbokd prclobas wara gs lcbbcws.

Bagmokd Nrcjars9

Cl tea 10 gkchgbcus nrcjar sabbokd prclobas, scha fchpgkoas lagturam hcra tegk ctears suddastokd tegtteay wara tgrdatam hcra eagvoby.

Lagturokd = tohas wara ADP gkm VNH

Lagturokd 6 tohas wara9 NP], FV^, LHD, B_F, PND,PMK, ^VD, gkm VB^

Lagturokd > tohas wara9 JG^, CYB, gkm TVG

Lagturokd ckfa wara 9 FMQ gkm 77 ctears.

0%

1%

70%

71%

>0%

>1%

60%

61%

=0%

=1%

10%

Cl tea 10 hcst gkchgbcus trgmas Harrobb Bykfe gffcuktam lcr >%), IP Hcrdgk (7>%), Hgfqugroa (70%) gkm Okstokat (5%).

GKCHGBCQV VABBOKD P^CLOBAV GF^CVV GBB ]^GMOKD9 Mcwktofjs Vgbas (M]%) varsus Cvargbb Vabbokd (Vabbs%)

M] Vgbas (M] %)

Gbb Vabbokd (Vabbs %)

Nrcjars

Fchpgky gkm Mgy


10/62

70

7.>.> ]^GMOKD TEA^A BG^DA \CBQHAV CL VABBOKD EGV ]AKMAM ]C G\COM MCTK]OFJV OK P^OFA

]ea 10 hcst gkchgbcus mgoby nrcjar sabbokd prclobas (o.a., weara bgrda vcbuhas cl sabbokd, rasubtam ok shgbbkuhnars cl M] trgksgftocks) lcr trgmokd gfrcss tea 6> fchpgkoas murokd Cft >076 gra prcvomam nabcw. ]eamgoby sabbokd prclobas gra secwk lcr nrcjars gbckd wote tea fchpgkoas gkm tea pgrtofubgr trgmokd mgy okvcbvam.

0%

70%

>0%

60%

=0%

10%

0%

>1%

GKCHGBCQV VABBOKD P^CLOBAV GF^CVV GBB ]^GMOKD9 Mcwktofjs Vgbas (M]%) varsus Cvargbb Vabbokd (Vabbs %

M] Vgbas (M] %)


GKCHGBCQV VABBOKD P^CLOBAV GF^CVV GBB ]^GMOKD9 Mcwktofjs Vgbas (M]%) varsus Cvargbb Vabbokd (Vabbs %)

M] Vgbas (M] %)


Nrcjars

Fchpgky gkm Mgy

Bagmokd >1 Gkchgbcus Prclobas

Nrcjars

Fchpgky gkm Mgy

Kaxt >1

Bgrda vcbuhas cl sabbokd gsscfogtam wote ckby shgbb kuhnarscl Mcwktofjs os gbsc fcuktar-oktuotova tc wegt wcubm na

axpaftam lrch kcrhgb trgmokd ok g dakuoka hgrjat.


11/62

77

7.>.6 ]^GMOKD TEA^A VHGBB \CBQHAV CL NQ_OKD EGV FGP]Q^AM OK BG^DA KQHNA^V CL M] NQ_V

]ea fegrts secw tea bagmokd 10 nuyars cl gkchgbcus Mcwktofj trgmas gfrcss gbb trgmokd lcr tea 6>fchpgkoas ravoawam tercudecut Cftcnar ( o.a. bgrda kuhnars cl Mcwktofj purfegsas gfeoavam lrchrabgtovaby hokcr vcbuhas cl nuyokd). ]ea suffass ok naokd gnba tc nuy feagpar Mcwktofj trgmas pcokts tcfcbbusock (tercude gbdcrotehs) natwaak tea nuyokd nrcjars gkm tea nrcjars raspcksonba lcr Mcwktofj sabbtrgmas.

]ea kaxt >1 hcst gkchgbcus nrcjar prclobas.

0%

70%

>0%

60%

=0%

10%

0%

>1%

GKCHGBCQV NQ_OKD P^CLOBAV GF^CVV GBB ]^GMOKD9 Mcwktofjs Nuys (M]%) varsus Cvargbb Nuyokd (Nuys %)

GKCHGBCQV NQ_OKD P^CLOBAV GF^CVV GBB ]^GMOKD9 Mcwktofjs Nuys (M]%) varsus Cvargbb Nuyokd (Nuys %)

]ea Bagmokd >1 Prclobas

M] Nuys (M] %)

Gbb Nuyokd (Nuys %)

M] Nuys (M] %)

Gbb Nuyokd (Nuys %)

Kaxt >1

Nrcjars

Fchpgky gkm Mgy

Nrcjars

Fchpgky gkm Mgy

Nuyokd prclobas lagturokd bgrdakuhnars cl feagpar Mcwktofj

purfegsas lrch shgbb vcbuhas clnuyokd gra stgtostofgbby ohpbgusonbagkm suddast fcbbusova trgmokdtercude tea usa cl gbdcrotehs.


12/62

7>

7.>.= ]^GMOKD TEA^A BG^DA \CBQHAV CL NQ_OKD EGV ]AKMAM ]C HOVV CQ] CK MCTK]OFJ PQ^FEGVAV

]ea fegrts nbcw secw tea bagmokd 10 nuyars cl gkchgbcus nrcjar nuyokd prclobas, weara surprosokdby, shgbbkuhnars cl Mcwktofj purfegsas wara gsscfogtam wote strckd bavabs cl nuyokd. ]ea bgfj cl suffass okfgpturokd feagpar M] trgmas fgk ckby na axpbgokam ok tarhs cl nrcjar fcbbusock ok axfegkdokdfchpgrgtovaby bgrda vcbuhas cl segras weoba dakargbby kct ohpgftokd profokd bavabs. Fartgokby profas egvagvcomam tea lbuftugtocks kcrhgbby gsscfogtam wote tea lcrfas cl suppby gkm mahgkm weara dakuoka bgrda

nuyars try tc pgy gs bottba gs pcssonba gkm dakuoka bgrda sabbars try tc gfeoava tea eodeast pcssonba profas.

0%

70%

>0%

60%

=0%

10%

0%

60%

=0%

10%

1 Prclobas

Kaxt >1 Prclobas

Nrcjars

Fchpgky gkm Mgy

Nrcjars

Fchpgky gkm Mgy

Nuyokd prclobas lagturokd bgrdavcbuhas cl nuyokd tegt egs hossam

cut ck feagpar Mcwktofj purfegsas gdgok prasakts gsstgtostofgbby ohpbgusonba. ]ea

pgttarks mc kct ralbaft dakuokasuppby gkm mahgkm.


13/62

76

7.>.1 HGKOPQBG]O\A VABBOKD ]ÂKMV C\A^BCCJAM N_ ]EA ÂDQBG]C^

Cl tea lcur trgmokd pgttarks rasubtokd lrch oktargftocks natwaak nrcjar trgmokd gbdcrotehs, cka stgkms cutgs naokd cvartby hgkopubgtova gkm agsoby mataftam. ]ea rahgokmar gra eodeby munocus gs wabb nut hufehcra mollofubt tc gssass wotecut axtaksova gumots. ]rgmokd pgttarks weara bgrda kuhnars cl profa lgbbs gragsscfogtam wote shgbb vcbuhas cl sabbokd (o.a., gs par Vaftock 7.>.7) sohpby fgkkct na axpbgokam ok tarhsctear tegk segra profa hgkopubgtock.

Teoba tea radubgtcr egs fbgoham teara os kc avomakfa cl wrckdmcokd ok GVOF Fchpbgokts >076-7, >076-> gkm>076-6 ot egs naak prapgram tc cvarbccj sodkolofgkt Mcwktofj ossuas ok tea sabbokd mcwk cl prgftofgbby gbbFuMafc gkkcukfahakts 2 âlar GVOF Fchpbgokt >076-7 Pd 770 ; gs wabb gs savara Mcwktofj gkchgboas sufegs tea lcbbcwokd9

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

Kcv6

Kcv=

Kcv1

Kcv5

Kcv?

Kcv70

Kcv77

Kcv71

Kcv7>

Kcv>6

Kcv>=

Kcv>1

Kcv>?

Kcv60

QNV Vafurotoas - Kcv >070 Mcwktofj Vabbokd Prcloba varsus Gbb Vabbokd Prcloba (â9 FMQ)

% cl M]s gs Vabbars

% cl Gbb Vabbokd


0%

70%

>0%

60%

=0%

10%

Maf6

Maf7

Maf>>

Maf>6

Maf>=

Maf>?

Maf60

Maf67

Mautsfea Ngkj - Maf >070 Mcwktofj Vabbokd Prcloba varsus Gbb Vabbokd Prcloba (â9 FMQ)


]rgmokd ralarram tc ok

GVOF Fchpbgokt >076->

]rgmokd ralarram tc okGVOF Fchpbgokt >076->
http://www.scribd.com/doc/160561633/8-1-ASIC-Complaint-2013-1http://www.scribd.com/doc/160561633/8-1-ASIC-Complaint-2013-1


14/62


15/62

71

7.>.< LQ^]EA^ ]^AKMV

GVOF Fchpbgokt >076-= gbsc ralarram tc nrcjar trgmokd gkchgboas sufe gs tea ckas raprcmufam nabcw. ]eafegrts fcokfoma wote tea parocm tegt Hcrdgk Vtgkbay scbm mcwk tea sunstgktogb segraecbmokd tegt tea H&DDrcup eabm ok FuMafc Bohtam.

0%

1%

70%

71%

>0%

>1%

60%

61%

=0%

Iuk75

Iuk7?

Iuk>7

Iuk>=

Iuk>5

Iub5

Iub70

Iub77

Iub7>

Iub7=

Iub>4

Iub67

Gud>

Gud1

Gud

Gud76

Gud71

Gud70

Framot Vuossa (Iuk7> tc Gudust >7, >076) Mcwktofj Vabbokd Prcloba varsus Gbb Vabbokd Prcloba (^a9 FMQ)

% cl M]s gs Vabbars

% cl Gbb Vabbokd

]rgmokd ralarram tc okGVOF Fchpbgokt >076-=

]ea >1 hcst gkchgbcus trgmok rclobas gra lagturam

0%

1%

70%

71%

>0%

>1%

60%

61%

=0%

=1%

Iuk75 Iuk>= Iub7 Iub6 Iub? Iub70 Iub77 Iub7> Iub71 Iub7< Iub74 Iub75 Iub>> Iub>6 Iub>= Iub>< Iub67 Gud> Gud1 Gud< Gud4 Gud5 Gud? Gud7> Gud76 Gud7= Gud71 Gud7< Gud7? Gud>7

IP HC^DGK (IPH) Mcwktofj Vabb Prcloba varsus Gbb Vabbokd Prcloba

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Iuka 75 tc Gud >7, >076]rgmokd ralarram tc okGVOF Fchpbgokt >076-=

Dovak tegt ncte tea GVU Ncgrm gkm GVOF wcubm na wabb gwgra cl tea ohpgft cl trgmokd gbdcrotehs ck tea hgrjat, otlcbbcws tegt hgkopubgtova trgmokd prgftofas gra naokd tgfotby sgkftockam ny tecsa gutecrosam tc cpargta gkm radubgta tealokgkfogb hgrjats.
http://www.scribd.com/doc/176500137/ASIC-Complaint-2013-4-CuDeco-Trading-Issues-as-M-G-Sold-Out?secret_password=1pqa9iud3754zdf45vqyhttp://www.scribd.com/doc/176500137/ASIC-Complaint-2013-4-CuDeco-Trading-Issues-as-M-G-Sold-Out?secret_password=1pqa9iud3754zdf45vqyhttp://www.scribd.com/doc/176500137/ASIC-Complaint-2013-4-CuDeco-Trading-Issues-as-M-G-Sold-Out?secret_password=1pqa9iud3754zdf45vqy


16/62

700 fchpgkoas tercudecut Cftcnar >076.

Teoba pgrtofubgr nrcjars takmam tc trgma ok wgys tegt rasubtam ok eodeby munocus trgmokd prclobas lrch tohatc toha, teara wgs g takmakfy lcr tea nrcjars tc fegkda teaor sabbokd prclobas (o.a. gmiust teaor gbdcrotehs),gkm tc rctgta teaor okvcbvahakts ok pgrtofubgr stcfjs, lrch cka mgy tc tea kaxt. ]ea fegkdas gkm rctgtocksfghculbgdam nrcjar gftovoty sc tegt cvar toha, kc sokdba nrcjar stccm cut gs naokd cvarby prchokakt.

]ea jay ok tarhs cl omaktolyokd hgkopubgtova oklbuakfas os tc na gnba tc bcfgta tea fboakts cl nrcjars wec graraspcksonba lcr tea hgkopubgtova trgmokd prclobas cl nrcjars. Gumots gra raquoram ok crmar tc gfeoava tegt. Clpgrtofubgr oktarast os weatear cr kct tea sgha trgmokd aktotoas gra sohpby feccsokd mollarakt nrcjars lrchcka mgy tc tea kaxt ok crmar tc lcrfa munocus trgmokd gdakmgs ck tea hgrjat.

]ea lcbbcwokd saftock suhhgrozas tea nuyokd gkm sabbokd prclobas cl bagmokd nrcjars gfrcss gbb trgmokdrafcrmam lcr Cftcnar, orraspaftova cl tea stcfjs gftugbby trgmam. Fegrtokd tea rasubts fbagrby mahckstrgtas gtakmakfy ny scha nrcjars tc trgma, hcra cltak tegk kct, ok cka cl tea lcbbcwokd wgys9

]ypa G Prcloba9 Nrcjars wec gra gftovaby okvcbvam ok lcrfokd bcwar profas gs sabbars wote bgrdakuhnars cl Mcwktofj trgmas gfeoavam lrch hokohgb sabbokd vcbuhas.

]ypa N Prcloba9 Nrcjars wec gra gftovaby okvcbvam ok lgfobotgtokd bcwar profas gs nuyars tercude teapurfegsokd cl bgrda kuhnars cl feagpar Mcwktofj trgmas maspota shgbb nuyokdvcbuhas.

]ypa F Prcloba9 Nrcjars wec gra gftovaby okvcbvam ok nuyokd gkm sabbokd bgrda vcbuhas cl segraswotecut sodkolofgktby ohpgftokd profokd bavabs dovak tea kuhnars cl segras trgmam.

]ea vgrocus nrcjar stybas omaktoloam ok rasagrfe mgtg gkm bostam gncva iust egppak tc aqugta tc wegt oskaamam lcr secrt sabbokd tc suffasslubby tgja pbgfa. ]ea prcfass fgk na masfronam gs9

7. Vecrt sgbas kaam tc na pbgfam gt cptohuh/ eode profas wotecut profa ohpgft. o.a., ]ypa F trgmas>. Profas teak kaam tc na tgjak bcwar wotecut tea bcss cl ecbmokds. o.a., ]ypa G & N trgmas6. Vecrt fcvarokd purfegsas kaam tc na hgma, gdgok wotecut ohpgftokd profas o.a., ]ypa F trgmas

Vecrt sabbokd tegt os kct gnba tc na suffasslubby fcvaram ck tea sgha mgy wcubm cnvocusby bagm tc gkokfragsa ok cpak secrt pcsotocks weara ncrrcwam stcfj os usam tc aksura tegt sattbahakts tgja pbgfa.

Teoba tea trakms avomakt ok trgmokd mgtg prcvoma g kofa lot wote wegt os raquoram lcr secrt sabbokd tc nasuffasslubby ohpbahaktam, gbb trgmokd stybas ralarram tc gra kck-dakuoka, raquora axtaksova fcbbusock

natwaak nrcjars tercude teaor gbdcrotehs, gkm teay rasubt ok grtolofogb profas. Ok secrt, segra profahgkopubgtock os fchhckpbgfa gkm tea hgrjat os eagvoby fchprchosam tercude tea loka tukokd cl EL]trgmokd gbdcrotehs tegt akgnba uklgor fcktrcb cvar tea hgrjat.


17/62

74

7.6.7 VQHHG^_ CL N^CJA^ ]^GMOKD P^CLOBAV 7 Vabbokd tegt egs takmam tc rasubt ok bcwar profas

]ea lcbbcwokd fegrts fchnoka tea nrcjar sabbokd prclobas cl pgrtofubgr nrcjars gfrcss gbb cl teaor sabbokd okfchpgkoas ravoawam ok Cftcnar. ]ea mgoby prclobas egva naak grrgkdam balt tc rodet tc secw tea trgmas tegtegva bam tc bcwar profas lrch hokohgb vcbuhas cl sabbokd (masfronam gs Prcloba G), fchpgram tc tea trgmasweara sabbokd egs tgjak pbgfa wote bass ohpgft ck profokd bavabs (masfronam gs Prcloba F). Hcst cl tea fegrts

lagturam secw g takmakfy tcwgrms ]ypa G prclobas.

0%

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>1%

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=0%

=1%

F^AMO] VQOVVA (FVQO) Nrcjar Vabbokd Prclobas Gfrcss Gbb ]rgmokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

OKV]OKA] (OKV]) Nrcjar Vabbokd Prclobas Gfrcss Gbb ]rgmokd

0%

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>0%

60%=0%

10%


18/62

75

0%

70%

>0%

60%

=0%

10%

0%

>1%

60%

61%

=0%

=1%

10%

HGFWQG^OA (HGFW) Nrcjar Vabbokd Prclobas Gfrcss Gbb ]rgmokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

HA^^OBB B_KFE (HA^B) Nrcjar Vabbokd Prclobas Gfrcss Gbb ]rgmokd

0%

70%

>0%

60%

=0%

10%


19/62

7?

7.6.> VQHHG^_ CL N^CJA^ ]^GMOKD P^CLOBAV > Vabbokd tegt egs takmam tc gvcom bcwar profas

]ea fegrts lagturam nabcw secw g takmakfy tcwgrms ]ypa F prclobas weara sabbokd egs dakargbby kct naakgsscfogtam wote tea bavabs cl Mcwktofj trgmas axpaftam lrch sodkolofgkt vcbuhas cl sabbokd put tercude teahgrjat.

0%

70%

>0%

60%

=0%

10%

0%

60%

=0%

10%

0%

>1%

60%

61%

=0%

=1%

10%DCBMHGK VGFEV (DV) Nrcjar Vabbokd Prclobas Gfrcss Gbb ]rgmokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

G strckd nogs tcwgrms Prcloba Fcffurram ok tea hgicroty cltrgmokd tercudecut Cftcnar

]ypa GPrclobas

]ypa GPrclobas

]ypa FPrclobas

]ypa FPrclobas

]ypa FPrclobas


20/62

>0

7.6.6 VQHHG^_ CL N^CJA^ ]^GMOKD P^CLOBAV 6 Nuyokd tegt egs suppcrtam Mcwktofj ]rgmas

]ea fegrts lagturam nabcw secw g takmakfy tcwgrms ]ypa N prclobas weara bcw vcbuhas cl nuyokd egsdakargbby naak gnba tc pofj up bgrda kuhnars cl feagpar Mcwktofj trgmas.

0%

1%

70%

71%

>0%

>1%

60%

0%

1%

70%

71%

>0%

>1%

60%

61%

\O^]Q LOKGKFOGB (\O^]) Nrcjar Nuyokd Prclobas Gfrcss Gbb ]rgmokd

HA^^OBB B_KFE (HA^B) Nrcjar Nuyokd Prclobas Gfrcss Gbb ]rgmokd

0%

>%

=%

%

7=%

70%OKV]OKA] (OKV]) Nrcjar Nuyokd Prclobas Gfrcss Gbb ]rgmokd

M] Nuys (M] %)

Gbb Nuyokd (Nuys %)

M] Nuys (M] %)

Gbb Nuyokd (Nuys %)

M] Nuys (M] %)

Gbb Nuyokd (Nuys %)

]ypa NPrclobas

]ypa FPrclobas

]ypa NPrclobas

]ypa NPrclobas


21/62


22/62

>>

7.6.= VQHHG^_ CL N^CJA^ ]^GMOKD P^CLOBAV = Nuyokd tegt egs takmam tc gvcom eodear profas

]ea fegrts lagturam nabcw secw g takmakfy tcwgrms ]ypa F prclobas weara eode vcbuhas cl nuyokd egstakmam tc hoss cut ck feagpar Mcwktofj trgmas. ]ea prclobas gra ok fcktrgst tc tea nrcjars ok tea pravocussaftock wec takmam tc safura M] purfegsas lrch fchpgrgtovaby bcw vcbuhas cl nuyokd.

0%

70%

>0%

60%

=0%

10%

0%

60%

=0%

10%

0%

60%

=0%

10%


23/62

>6

Vaftock 7.=

GKGB_VOV CL N^CJA^ ]^AKMV

OMAK]OLOAM GF^CVV GBB GVU ]^GMOKD


24/62

>=

7.=.7 OK]^CMQF]OCK

Okmovomugb nrcjar trgmokd mgtg lcr tea 6> fchpgkoas sghpbam egs naak fchnokam tc prcvoma gvargdaprclobas gs sabbars, gkm gvargda prclobas gs nuyars, gfrcss gbb stcfjs. Fchnokokd tea mgtg egs prcvomam gkcppcrtukoty lcr omaktolyokd tea trgmokd fegrgftarostofs cl pgrtofubgr nrcjars.

Ok radgrm tc sabbokd, sabaft drcups cl nrcjars egva ahardam weofe egva takmam tc9

c mrova profas mcwk tercude ohpbahaktokd bgrda kuhnars cl Mcwktofjs fchpgram tc teaorvcbuhas cl sabbokd ok tea hgrjat dakargbby, cr,

c sabb sodkolofgkt vcbuhas cl stcfj nut gra gnba tc gvcom Mcwktofjs tc g fartgok axtakt.

Ck tea nuyokd soma, nrcjars egva gbsc takmam tc gmcpt pgrtofubgr nuyokd prclobas sufe gs

c egvokd tea gnoboty tc pofj up bgrda kuhnars cl Mcwktofj purfegsas, maspota fchpgrgtovaby hokcrnuyokd vcbuhas, gkm

c nuyokd bgrda vcbuhas cl stcfj nut schaecw hossokd cut ck feagpar Mcwktofj purfegsas.

]eara gra cl fcursa axfaptocks, wote hgky shgbbar nrcjars egvokd kadbodonba ohpgft ok tea hgrjat, gkm okpgrtofubgr stcfjs, prchokakt nrcjars egva takmam tc rctgta teaor nuyokd gkm sabbokd okvcbvahakts lrch ckamgy tc tea kaxt.

G hgicr teaha gfrcss gbb trgmokd, ecwavar, os tegt nrcjars wote shgbb ghcukts cl sabbokd egva sunstgktogbbyohpgftam profas, gkm nrcjars wote bgrda ghcukts cl sabbokd egva hokohgbby ohpgftam profas. Ot os kct ecwhgrjats gra hagkt tc wcrj. ]ea rasubts lbcwokd lrch gbdcrotehof oktargftocks ralbaft tegt cl g roddamhgrjat weara tea trua lcrfas cl suppby gkm mahgkm gra naokd forfuhvaktam ok gk akmbass puse tc sat up,gkm teak tc fcksuhhgta, suffasslub secrt sabbokd trgmas.

Ohpcrtgktby, ok g lgor hgrjat ngsam ck dakuoka nuyokd gkm sabbokd, nrcjars wote shgbb ghcukts cl nuyokdsecubmkt na suffasslub ok pofjokd up bgrda kuhnars cl feagpar Mcwktofj trgksgftocks. Gbsc, nrcjars wotestrckd nuyokd prclobas secubmkt na takmokd tc hoss cut ck feagpar Mcwktofj purfegsas . _at tecsa trakmsgra rapagtam ok gbb trgmokd mgtg. ]ea sotugtock os fchpbataby fcuktar-oktuotova tc tegt axpaftam lrch lgor gkmdakuoka trgmokd.

]ea lcbbcwokd saftock gttahpts tc omaktoly scha cl tea nuyokd gkm sabbokd fegrgftarostofs cl tea hcraprchokakt nrcjars weara fartgok nrcjars egva takmam tc gmcptam spafolof trgmokd rcbas tegt gra bojaby tc na

ok pursuot cl segram trgmokd gdakmgs. Vcha nrcjars gra fcksostaktby gnba tc ohpgft profas wote shgbb ghcuktscl sabbokd tegt rasubt ok bgrda kuhnars cl Mcwktofj trgmas, weoba ctears gssost teos drcup wote shgbb ghcuktscl nuyokd tegt takms tc pofj up bgrda kuhnars cl tea M] trgmas. Ok turk, ctear drcups cl nrcjars gra dakargbbygnba tc put bgrda vcbuhas cl nuyokd gkm sabbokd tercude tea hgrjat wotecut ohpgftokd profas. ]ea mostokftovatrgmokd fegrgftarostofs fcha gncut tercude tea vgrocus sattokds gnba tc na suppboam tc nrcjar gbdcrotehs.

Teak tea gftovotoas cl nrcjars gra fchnokam, paregps gs raquoram ny gk axfbusova fbun cr drcup clscpeostofgtam okvastcrs, tea fchnokam allcrts cl nrcjars gra allaftovaby gnba tc fcktrcb tea hgrjat. Vufefcktrcb ny oklbuaktogb, scpeostofgtam okvastcrs fchas gncut gt tea axpaksa cl tecsa wecsa okvasthakts gra

hgkgdam (gkm bakt cut lcr secrt sabbokd). Ot os gbsc gt tea axpaksa cl gbb shgbbar, ratgob okvastcrs. Ot os teabakmokd cl ctear pacpbas segras tc lgfobotgta ramuftocks ok segra profas tegt sots gt tea fcra cl oktadrotyossuas, gkm weoba secrt sabbokd os badgb, tea segra profa hgkopubgtock tegt gffchpgkoas tea prgftofa, gkmweofe egs rasubtam ok womaspragm trgmokd gkchgboas, os kct. _at profa roddokd os dcokd ukgmmrassam.


25/62


26/62

>6.>0%

Cft 7 FVQO >0.6% 77.=% -5.?0%Cft 7 QNV 4.=% 7.4% -1.40%]ctgb 15.0.5%

Cft 71 HA^B >1.>% 0.6% ->=.?0%Cft 71 IPH 7=.5% 0.0%Cft 71 HVMT >6.0% 7


27/62

>4

GKCHGBCQV ]^GMOKD fcktm

]ea rasubts lcr gbb fchpgkoas ok trgmokd tercudecut Cftcnar wara gs lcbbcws.

Cft 7, Cft 71 & Cft 67

Fchpgky Gvd. M] % Gvd. % VabbsNP]


28/62

>5

7.=.= FCHNOKAM N^CJA^ NQ_OKD P^CLOBAV

]ea trgmokd fegrgftarostofs cl nrcjars gs nuyars gfrcss gbb trgmokd tgjokd pbgfa egs gbsc naak dgudam ny9

gvargdokd gbb Mcwktofj nuyokd prclobas (% M] Nuys) lcr avary stcfj trgmam ck gbb mgys ravoawam, gkm gvargdokd gbb nuyokd hgrjat segras (% Nuys) rafcrmam lcr agfe stcfj gfrcss gbb mgys ravoawam.

]ea lcbbcwokd fegrt suhhgrozas tea rasubts gsscfogtam wote tea 6> fchpgkoas sghpbam.

Vohobgr tc tea trakms omaktoloam wote nrcjar sabbokd, tea nuyokd prclobas cl nrcjars gfrcss gbb stcfjs gra gbscfegrgftarozam ny 6 mostokftova trgmokd prclobas. ]eay gra eodebodetam nabcw.

0%

>%

=%

%

7=%

0%

>%

=%

%

7=%

Mcwktofj Prclobas varsus Vabbokd Prclobas

]ea ]rgmokd Prclobas cl 15 Nrcjars

Mcwktofj Nuys % varsus Nuyokd Prclobas

Mcwktofj nuyokdprclobas ok axfass cl

nuyokd dakargbby

Nuyokd bavabs eodeartegk tea bavabs cl

Mcwktofj purfegsas

Hgtfeokd M] nuyokd prclobas gkmcvargbb nuyokd prclobas, fegrgftarozam

ny bcw bavabs cl gftovoty.

Prcpcrtock cl M] Nuys (Gvargda M] %)

Prcpcrtock cl Gbb Nuyokd (Gvargda Nuys %)

]ea ]rgmokd Prclobas cl 15 Nrcjars wec purfegsam stcfj

Axfaptocks

0%

>%=%

%

7=%

0%

>%=%

%

7=%

Vtrckd nuyokd tegt egstakmam tc hoss cut ckMcwktofj purfegsas

Bcw bavabs cl nuyokd tegt egsnaak suffasslub ok pofjokd upfeagpar Mcwktofj purfegsas

7

>

6


29/62

>?

Gdgok tea trakms gra quota axtrgcrmokgry gs malokotova nuyokd prclobas egva gbsc ahardam tegt gra saahokdbyokmapakmakt cl tea stcfjs gftugbby trgmam gkm maspota tea lgft tegt nrcjar okvcbvahakts lbuftugtafcktokucusby lrch cka mgy tc tea kaxt. ]ea trakms tegt egva ahardam gra fegrgftarozam ny9

Cka drcup cl nrcjars naokd gsscfogtam wote sodkolofgktby hcra Mcwktofj nuyokd trgksgftocks tegkwegt teaor ramufam nuyokd prclobas wcubm suddast,

Gkctear drcup cl nrcjars takmokd tc hoss cut ck Mcwktofj purfegsas maspota strckd nuyokd prclobas.

]ea lgft tegt nrcjars omaktoly wote mostokftova nuyokd trakms orraspaftova cl tea stcfjs purfegsam lurtearsuddasts g eodeby fc-crmokgtam/strgtadof/tagh croaktgtam gpprcgfe tc trgmokd. Vufe fc-cpargtock natwaaknrcjars cr nrcjars naokd usam tc ruk mollarakt stybam trgmokd gbdcrotehs strckdby omaktoloas wote gk gnoboty tcdgok fcktrcb cvar tea hgrjat. Ot gbsc omaktoloas wote segra profa hgkopubgtock.

Fbagrby, scha nrcjars egva naak purfegsars cl stcfj ok g hgkkar tegt wcubm egva lgfobotgtam bcwar profasny naokd tea gftova nuyars cl Mcwktofj trgmas. Ot wcubm gppagr tegt ctear nrcjars wec magb ok bgrdavcbuhas cl stcfj fgk teak tgja gmvgktgda cl tea bcwar profas tegt egva naak sat up lcr teah.

Gdgok, tea fcktrgstokd naegvocurs cl tea twc drcups hgja kc bcdofgb saksa weak voawam lrch gparspaftova cl dakuoka nuyokd gkm sabbokd ok g lgor hgrjat. Bcdofgbby, g strckd nuyar cudet tc na tea ckawec dgoks gffass tc feagpar Mcwktofj trgmas gkm nrcjars wote bassar nuyokd prclobas cudet tc na tea ckaswec hoss cut ck Mcwktofj purfegsas. _at tea ravarsa egs cffurram.

Ohpcrtgktby, tea trgmokd prclobas gs nuyars gftugbby suppcrt tea hgkopubgtova sabbokd tgjokd pbgfa ny teanrcjars wec wara raspcksonba lcr bgrda kuhnars cl Mcwktofj sgbas. ]ea suppcrt raprasakts eode bavabs clfcbbusock gkm segra profa hgkopubgtock ossuas gs trgmokd gdakmgs gra ohpbahaktam. ]rgmokd gdakmgs gragfeoavam tercude EL] gbdcrotehs egvokd tea gnoboty tc pralaraktogbby gbbcfgta trgmas.

Ngsam ck tea sghpba cl 6> fchpgkoas, gbdcrotehs gra saak tc na gk oktadrgb pgrt cl ecw profas gra naokduklgorby fcktrcbbam ok stcfjs rodet gfrcss tea GVU. ]ea uklgorkass ossuas egva naak axtaksovaby spabt cutfckfarkokd FuMafc trgmokd ok savargb GVOF fchpbgokts ecwavar ot wcubm gppagr tegt sohobgr stcroas granaokd rapagtam cvar gkm cvar.

]ea lgft tegt grtolofogb profas fgk na sc ragmoby sat gkm hgoktgokam ok mgoby trgmokd raprasakts g strckdfcktrgmoftock tc fbgohs tegt tea Gustrgbogk Vtcfj axfegkda lukftocks wote oktadroty. Ot gbsc rgosas quastocksgncut gk gppgrakt lgobura ny radubgtcrs gkm ny tea GVU tc mabovar ck prchosas gkm tc prcvoma tea scrt cl

trgmokd akvorckhakt suddastam ny cllofogb stgtahakts lrch teasa crdgkozgtocks.

2Wucta; Ok suparvosokd hgrjats, cur fcra cniaftova os tea prchctock cl okvastcr fcklomakfa tercude lgor gkmallofoakt hgrjats. ]eos raquoras g hgrjat oklrgstruftura tegt os rcnust, weara tea trgmokd, fbagrokd gkmsattbahakt cl trgksgftocks os crmarby gkm allofoakt, gkm weara hgrjat hosfckmuft os hokohosam. 2 BOKJ ;

Gbdcrotehs raprasakt g vary bgrda pgrt cl tea prcnbah ncte ok gftova trgmokd gkm murokd guftocks, nut gbscfcktronutokd tc fchprchosam hgrjats gra systahof ossuas tegt gbbcw9

c woma sfgba gnusas cl secrt sabbokd:c systahs cl trgmokd tegt gvcom profa mosfcvary (o.a., Mgrj Pccbs) gkm cpgqua Cll hgrjat gmiusthakts: gkmc g systah cl trgmokd, sattbahakts gkm safurotoas bakmokd tegt tgjas pbgfa vortugbby cpgqua tc tea hgrjat

lcr tea vgst hgicroty cl trgksgftocks tegt cffur, gkm weofe pravakts aktotoas naokd hgma gffcuktgnba lcrgky uklgor ohpgft teaor trgmokd egs ck tea hgrjat.

Gbb ossuas egva naak nrcudet tc gttaktock ok fchpbgokts lcrwgrmam tc tea radubgtcr fckfarkokd FuMafc
http://www.asic.gov.au/asic/pdflib.nsf/LookupByFileName/rep366-published-21-August-2013.pdf/$file/rep366-published-21-August-2013.pdfhttp://www.scribd.com/collections/4325685/Chapter-8http://www.scribd.com/collections/4325685/Chapter-8http://www.scribd.com/collections/4325685/Chapter-8http://www.scribd.com/collections/4325685/Chapter-8http://www.asic.gov.au/asic/pdflib.nsf/LookupByFileName/rep366-published-21-August-2013.pdf/$file/rep366-published-21-August-2013.pdf


30/62

60

Vaftock 7.1

MGOB_ FEG^]V CL ]EO^]_-]TC GVU >00 FCHPGKOAV

MQÔKD CF]CNA^ >076

Mgoby fegrts lcr tea trgmokd tgjokd pbgfa ok tea lcbbcwokd fchpgkoas ck Cftcnar 7, Cftcnar 71 gkm Cftcnar67 gra prcvomam ok tea lcbbcwokd saftock.

KATFÂV] HOKOKD KFH Vaftock 7.1.7 Pd. 67TEO]AEG\AK FCGB TEF Vaftock 7.1.> Pd. 6>AFEC AK]A^]GOKHAK] ADP Vaftock 7.1.6 Pd. 66

VOÔQV ÂVCQ^FAV VO^ Vaftock 7.1.= Pd. 6=LC^]AVFQA HOKOKD LHD Vaftock 7.1.1 Pd. 61OBQJG ÂVCQ^FAV OBQ Vaftock 7.1.< Pd. 6 Pd. =>BAODE]CK HOKOKD BAO Vaftock 7.1.76 Pd. =6FV] BOHO]AM FV^ Vaftock 7.1.7= Pd. ==D^GOKFC^P DKF Vaftock 7.1.71 Pd. =1FVB BOHO]AM FVB Vaftock 7.1.7< Pd. =0 Pd. 10JOKDVDG]A FCKVCBOMG]AM JFK Vaftock 7.1.>7 Pd. 17TCCMVOMA PA]^CBAQH TPB Vaftock 7.1.>> Pd. 1>EG^\A_ KC^HGK E\K Vaftock 7.1.>6 Pd. 16PGK GQV]^GBOG PKG Vaftock 7.1.>= Pd. 1=PGBGMOK PMK Vaftock 7.1.>1 Pd. 11PGFOLOF Nrgkms BOHO]AM PND Vaftock 7.1.>< Pd. 14 Pd. 14VGKMLOÂ ÂVCQ^FAV VL^ Vaftock 7.1.>5 Pd. 15CY HOKA^GBV CYB Vaftock 7.1.>? Pd. 1?VOB\A^ BGJA ÂVCQ^FAV VB^ Vaftock 7.1.60 Pd.


31/62

67

7.1.7 KATF^AV] HOKOKD (KFH) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%KFH Cft 7 Mcwktofj Okvcbvahakt gs Vabbars KFH Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

KFH Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars KFH Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

KFH Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars KFH Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus

EodebyGkchgbcus Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus


32/62

6>

7.1.> TEO]AEG\AK FCGB (TEF) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%TEF Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars TEF Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

EodebyGkchgbcus

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

TEF Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars TEF Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

TEF Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars TEF Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus


33/62

66

7.1.6 AFEC AK]A^]GOKHAK] (ADP) - Cftcnar >076 Fegrts

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

10.0%

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%

ADP Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars ADP Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

ADP Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars ADP Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus

Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

GkchgbcusEodeby Gkchgbcus

EodebyGkchgbcus

Gkchgbcus


34/62

6=

7.1.= VO^OQV ^AVCQ^FAV (VO^) -Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%VO^ Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars VO^ Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

VO^ Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars VO^ Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

VO^ Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars VO^ Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Eodeby Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

EodebyGkchgbcus


35/62

61

7.1. 1 LC^]AVFQA HA]GBV (LHD) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%LHD Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars LHD Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

EodebyGkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

LHD Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars LHD Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

LHD Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars LHD Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

GkchgbcusGkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus


36/62

6076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%OBQ Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars OBQ Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

>.0%=.0%

.0%

7=.0%

70.0%

OBQ Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars OBQ Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

OBQ Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars OBQ Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Gkchgbcus

EodebyGkchgbcus EodebyGkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus


37/62

64

7.1.4 IN EOLO (INE) -Cftcnar >076 Fegrts

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%INE Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars INE Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd


Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

INE Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars INE Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

INE Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars INE Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

GkchgbcusEodeby

Gkchgbcus Eodeby Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

GkchgbcusGkchgbcus


38/62

65

7.1.5 JG^CCK DGV (JG^) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%JG^ Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars JG^ Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

EodebyGkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

JG^ Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars JG^ Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

JG^ Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars JG^ Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

GkchgbcusEodeby Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus


39/62

6?

7.1.? FCFEBAG^ Bohotam (FCE) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%FCE Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars FCE Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

Gkchgbcus Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

FCE Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars FCE Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

FCE Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars FCE Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus Eodeby Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

% cl M]s gs Vabbars

% cl Gbb Vabbokd

% cl M]s gs Nuyars

% cl Gbb Nuyokd


40/62

=0

7.1.70 H_A^ (H_^) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%H_^ Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars H_^ Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Gkchgbcus

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

10.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%


41/62

=7

7.1.77 LGOLGU HAMOG (LUI) -Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%LUI Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars LUI Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars


0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

LUI Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars LUI Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

LUI Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars LUI Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

GkchgbcusEodeby

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd


42/62

=>

7.1.7> TAV]A^K G^AGV (TVG) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%TVG Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars TVG Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

TVG Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars TVG Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

TVG Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars TVG Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Eodeby GkchgbcusEodeby

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus


43/62

=6

7.1.76 BAODE]CK HOKOKD (BAO) -Cftcnar >076 Fegrts

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

>1.0%

60.0%

61.0%BAO Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars BAO Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

BAO Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars BAO Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

BAO Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars BAO Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

GkchgbcusEodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

GkchgbcusGkchgbcus

Gkchgbcus



44/62

==

7.1.7= FV^ BOHO]AM (FV^) -Cftcnar >076 Fegrts

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%FV^ Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars FV^ Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

FV^ Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars FV^ Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

FV^ Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars FV^ Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars


EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus


45/62

=1

7.1.71 D^GOKFC^P (DKF) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%DKF Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars DKF Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

10.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%


46/62

=076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

>1.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

>.0%

=.0%

.0%

7=.0%

7


47/62

=4

7.1.74 VGK]CV B]M (V]C) - Cftcnar >076 Fegrts

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

>1.0%

60.0%V]C Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars V]C Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

>.0%

=.0%

.0%

7=.0%

7


48/62

=5

7.1.75 NAGFE AKA^D_ (NP]) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%NP] Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars NP] Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

NP] Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars NP] Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

NP] Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars NP] Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus

Gkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus


49/62


50/62

10

7.1.>0 VGK]G NG^NG^G BOH]AM (VNH) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%VNH Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars VNH Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

Eodeby Gkchgbcus

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

VNH Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars VNH Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

VNH Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars VNH Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus


Gkchgbcus

Gkchgbcus


51/62

17

7.1.>7 JOKDVDG]A FCKVCBOCMG]AM (JFK) -Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%JFK Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars JFK Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

.0%

=.0%

.0%

7=.0%

70.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

JFK Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars JFK Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

JFK Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars JFK Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus Gkchgbcus

Gkchgbcus

EodebyGkchgbcus Gkchgbcus GkchgbcusEodeby

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus


52/62

1>

7.1.>> TCCMVOMA PA]^CBAQH (TPB) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%TPB Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars TPB Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

TPB Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars TPB Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

TPB Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars TPB Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

GkchgbcusGkchgbcus

Eodeby Gkchgbcus

Eodeby Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcu


53/62

16

7.1.>6 EG^\A_ KC^HGK (E\K) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%E\K Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars E\K Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

E\K Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars E\K Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

E\K Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars E\K Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Gkchgbcus


Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus Gkchgbcus

Gkchgbcus

Gkchgbcus Gkchgbcus


54/62

1=

7.1.>= PGK GQV]^GBOG B]M (PKG) - Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%PKG Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars PKG Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars


% cl Gbb Vabbokd

Eodeby Gkchgbcus Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

>1.0%

PKG Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars PKG Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

PKG Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars PKG Cft 67 Okvcbvahakt gs Nuyars

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus


55/62

11

7.1.>1 PGBGMOK AKA^D_ (PMK) -Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%PMK Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars PMK Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars


% cl Gbb Vabbokd

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

PMK Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars PMK Cft 71 - Mcwktofj Okvcbvahakt gs Nuyars

PMK Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars PMK Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus


Gkchgbcus

EodebyGkchgbcus

Gkchgbcus


56/62

1< PGFOLOF N^GKMV (PND) -Cftcnar >076 Fegrts

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%PND Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars PND Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars


% cl Gbb Vabbokd

Eodeby Gkchgbcus

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%


57/62

14

7.1.>4 BOKF AKA^D_ (BKF) -Cftcnar >076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%BKF Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars BKF Cft 7 - Mcwktofj - M] Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars


% cl Gbb Vabbokd

Eodeby Gkchgbcus

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

BKF Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars BKF Cft 71 - Mcwktofj - M] Okvcbvahakt gs

BKF Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars BKF Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars


Gkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus


58/62

15

7.1.>5 VGKMLO^A ^AVCQ^FAV (VL^) -Cftcnar >076 Fegrts

Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%VL^ Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars VL^ Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

10.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

VL^ Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars VL^ Cft 71 - Mcwktofj - M] Okvcbvahakt gs

VL^ Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars VL^ Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Eodeby Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

GkchgbcusGkchgbcus


59/62

1?

7.1.>? CY HOKA^GBV (CYB) -Cftcnar >076 Fegrts

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%Gkchgbcus

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

0.0%

>.0%

=.0%

.0%

7=.0%

70.0%

CYB Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars CYB Cft 71 - Mcwktofj - M] Okvcbvahakt gs

CYB Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars CYB Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus

% cl M]s gs Vabbars

% cl Gbb Vabbokd


60/62


61/62

076 Fegrts

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

=1.0%B_F Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars B_F Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars


% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

60.0%

61.0%

=0.0%

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%

B_F Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars B_F Cft 71 - Mcwktofj - M] Okvcbvahakt gs Nuyars

B_F Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars B_F Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Eodeby Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

Gkchgbcus

Eodeby Gkchgbcus


62/62

7.1.6> FQMAFC BOHO]AM (FMQ) -Cftcnar >076 Fegrts

0.0%

70.0%

>0.0%

60.0%

=0.0%

10.0%

0.0%

>1.0%

60.0%FMQ Cft 7 - Mcwktofj Okvcbvahakt gs Vabbars FMQ Cft 7 - Mcwktofj Okvcbvahakt gs Nuyars

% cl M]s gs Nuyars

% cl Gbb Nuyokd

% cl M]s gs Vabbars

% cl Gbb Vabbokd

Eodeby Gkchgbcus

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

71.0%

>0.0%

>1.0%

0.0%

1.0%

70.0%

71.0%

>0.0%

>1.0%

71.0%

>0.0%

>1.0%

FMQ Cft 71 - Mcwktofj Okvcbvahakt gs Vabbars FMQ Cft 71 - Mcwktofj - M] Okvcbvahakt gs

FMQ Cft 67 - Mcwktofj Okvcbvahakt gs Vabbars FMQ Cft 67 - Mcwktofj Okvcbvahakt gs Nuyars

Eodeby GkchgbcusEodeby

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus

Gkchgbcus EodebyGkchgbcus

EodebyGkchgbcus

EodebyGkchgbcus

Eodeby Gkchgbcus

E d b Gk h b

Gkchgbcus

Documents

ASIC Complaint 6