Our philosophy is a simple one. Establish a trusted partnership with our clients by providing a direct, personal, one-on-one service that larger, more cumbersome entities cannot match. Reflect passion and enthusiasm in all aspects of our operations to ensure positive results for our clients and align ourselves with their success. It’s an equation that everyone understands. Level 13, 20 Hunter Street, Sydney NSW 2000 T: +61 2 8277 0000 F: +61 2 8580 5700 E: [email protected] www.oneinvestment.com.au Capabilities One Investment Group (OIG) is an independent Australian funds management business that focuses on providing Responsible Entity, Trustee, Custody, Registry and Fund Accounting services to funds. OIG operates a number of entities that, pursuant to the Corporations Act, are licensed to conduct financial services businesses and to act as Responsible Entities for registered schemes and as Trustees for unregistered schemes. OIG’s licensed entities hold over 200 trustee roles, administering a range of asset classes including infrastructure, real estate, private equity, fixed income, equities and fund of funds. The total value of the assets within these trusts is in excess of $10 billion. Our capabilities include: • Responsible Entity services • Trustee services • Corporate Trust services • Fund Administration and Taxation services • Registry services OIG is uniquely positioned to offer the above services on an individual basis or as a complete “one-stop-shop” offering. The founders of OIG have in excess of 30 years’ experience in mergers and acquisitions, capital markets, funds management and corporate governance. The executive team are supported by OIG’s independent directors who each have in excess of 20 years’ experience in areas including trust administration, funds management, investment banking, capital markets and chartered accounting. OIG believes in providing a transparent fee structure and minimising activity based fees, typically operating on an inclusive fee engagement, thereby increasing the certainty of our fee arrangements. We pride ourselves on being extremely competitive with all our fee structures, a result of having owner involvement and a tightly knit, dedicated team. We view our client relationships as partnerships and frequently provide other services to our managers – facilitating their growth as a business. Services Responsible Entity Services OIG operates a number of Responsible Entities, each of which holds an Australian Financial Services Licence and is licensed, pursuant to the Corporations Act, to operate financial services businesses and to act as a Responsible Entity for registered managed investment schemes. The role of the Responsible Entity includes responsibility for compliance with the scheme’s Product Disclosure Statement, constitution and compliance plan, and ongoing satisfaction of legislative and regulatory requirements. Trustee Services OIG provides Trustee services to unregistered managed investment schemes. We act as Trustee for a wide range of asset classes, including real estate, shipping, aviation, hedge funds, infrastructure, fixed income, credit, equities and private equity. One Investment Group’s Trustee services include: • Producing offer documents • Monitoring compliance • Overseeing investment decisions • Ensuring adherence to regulatory and legal requirements • Appointing and monitoring external service providers Corporate Trust Services Custody services – OIG provides custody services, acting as an independent custodian, holding title to assets, entering into contracts and maintaining bank accounts. Having an independent custodian holding title to assets enables the manager to focus on managing the fund and can also provide additional assistance in the marketing of the fund to investors. Note/Security trustee – OIG has considerable experience in acting as trustee for retail and wholesale note issues as well as acting as security trustee and/or a facility agent on behalf of lenders for debt financing structures. Escrow agent – OIG is able to provide escrow services for a diverse range of transactions. Trustee for employee share plans – OIG can act as trustee for employee share trusts. An independent trustee can assist in managing employee share and options incentive plans, providing employees with the ability to acquire shares and options in a favourable tax environment. Fund Administration and Taxation Services Unity Fund Services, an affiliate of OIG, provides fund administration accounting and taxation services to over 40 funds across 14 managers, covering hedge funds, fund of funds, equity and property funds, systematic FX funds and credit/fixed income portfolios. Unity Fund Services provides timely, accurate and independent portfolio accounting. Unity Fund Service’s staff possess in-depth knowledge of fund operations, including complex financial instruments and are supported by one of the most sophisticated, global award-winning portfolio technology applications available. Registry Services One Registry Services (ORS), a subsidiary of OIG, provides its clients with a registry service that is reliable, prompt and cost effective. Our registry services team is equipped to manage the registry function of listed and unlisted companies and trusts including using the mFund Settlement Service. ORS offers a comprehensive range of registry and ancillary services including: • Share/unit registry management • Dividend and distribution payments • AGM services • Investor reporting • Enquiry management • Corporate actions Personnel Frank Tearle Executive Director Before founding One Investment Group, Frank served in various roles at Allco Finance Group, including Head of Business Transition and Operations, Managing Director of the Hong Kong Office, fund manager of two funds, Director of the corporate finance team and General Counsel. Frank has been a non-executive director of several companies, including the manager of a Singapore listed property trust and an Australian Prudential Regulation Authority regulated insurance company. Frank also has more than 10 years’ experience working in major law firms in both Australia and the United Kingdom, specialising in mergers and acquisitions, capital markets, funds management and corporate governance. Frank has a Masters in International Business Law from the University of Technology, Sydney and a Bachelor of Laws (with Honours) from the University of Leicester. Justin Epstein Executive Director Justin was formerly the Investment Director of the LJCB Investment Group, one of Australia’s most significant private investment houses. LJCB was diversified in terms of asset class and geographical and economic sector investment. LJCB had significant international investments in sectors including banking and financial services, petroleum, aviation and property. Justin was responsible for sourcing and leading investment opportunities. In this role, Justin was also Head of Corporate Finance for Global Aviation Asset Management, one of the world’s largest aircraft lessors, managing a modern portfolio of 53 aircraft on long term operating leases to airlines around the world. Justin has previously worked in group strategy and business development for a major Australian investment bank, for the corporate finance restructuring division of Ernst & Young and for a specialised private property finance and investment group. Justin is a Director of a private investment company primarily focused on equity investments and distressed debt opportunities. Justin holds a Bachelor of Commerce (with Distinction) from the University of New South Wales and is a Fellow of the Financial Services Institute of Australia. Michael Sutherland Director, Corporate Trust Michael has 20 years’ financial services experience across all asset classes having been employed in large and boutique fund managers, retail banks, investment banks, structured credit providers and hedge funds. In this time Michael has held senior executive and legal positions at Perpetual Limited, ANZ Funds Management, ABN Amro, AMP Capital Investors, Absolute Capital Limited and Everest Financial Group Limited. Michael has significant experience in structuring complex capital markets transactions in domestic and overseas jurisdictions (primarily debt, securitisation and collaterised debt structures) and has worked closely with management on numerous fund management products both domestically and overseas for wholesale and retail investors. Michael also has experience acting as an executive director of Responsible Entities, ASX listed companies and acting as a member of investment, product, risk, audit and compliance committees. Michael has significant experience working with management in developing strategies for distressed, illiquid, closed or frozen fund products in respect of both registered and unregistered funds. Michael holds a Bachelor of Arts from Macquarie University and a Bachelor of Laws from the University of Technology, Sydney. Michael holds a current practising certificate issued by the NSW Law Society and is a member of FINSIA and the Australian Corporate Lawyers Association. Personnel Sri Pillai Director, Compliance Sri has worked in the financial and legal services industry for 18 years. During this time, he has been involved in the areas of transactional documentation, all facets of compliance (including technical and legal), risk management, general due diligence, general legal services and advisory matters. Sri has extensive compliance experience working for numerous ASX