ASIC Complaint 3
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Transcript of ASIC Complaint 3
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8/12/2019 ASIC Complaint 3
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K]JMKF [@IXM@FDJMX XM[MIXK@
K@I\ZMX 0>I[OK KFB\DIOEZ[ KFEKMXEOEC KuJMKF ZXIJOEC
0.; I Xmvomw fg KuJmkf Zrijoec Ossums
grfb Nieuiry 8
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XMGMXMEKM DOEA[ ZF \]HDO[@MJ XM[MIXK@
K`iptmr 9> Oetrfjuktofe
9.9 S`y Hdfc6
9.8 Z`m Kurrmet [otuitofe
9.; Hdfc Kfetmet
K`iptmr 8> Ie Fvmrvomw fg Zrmejs Issfkoitmj Sot` 9= Bfet`s fg Zrijoec
8.9 Oetrfjuktofe
8.8 Zrijoec Zrmejs Fvmr i 9= Bfet` \mrofj
K`iptmr ;> Zrijoec Zrmejs Dmijoec up tf Iuc 90, 8
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FWMXWOMS
Xmsmirk` oetf trijoec fg KuJmkf s`irms juroec t`m pmrofj Nieuiry 8
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KFB\IXO[FE K@IXZ[ - Nieuiry t`rfuc` Biy 8
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JFSEZOKA ZXMEJ[ (Xmgmr tf \icm 9= gfr i gudd mxpdieitofe fg Iefbidfus JZ trmejs)
Z`m kfbpirosfe fg Jfwetoka sidms wot` smddoec cmemriddy fvmr = bfet`s fg trijoec s`fws up iefbidoms wot`
hft` ]H[ iej B[JS w`f hft` ippmir tf `ivm tircmtmj dfwmr prokms wot` t`mor smddoec. [uk` hm`ivofur os
bieopuditovm is cmeuoem smddoec dffas tf bixobozm rmtures grfb sidms, eft cmemritm bixobub prokm obpikt
rmcirjoec prokm gidds.
[obodirdy, t`m kfbpirosfe fg Jfwetoka purk`isms wot` huyoec cmemriddy s`fws up iefbidoms wot` ]H[ iejBMXD. Ot os eft rmisfeihdm tf mxpmkt sukkmss it huyoec JZ sidms is fgtme is `is hmme ik`omvmj hy kmrtioe
hrfamrs huyoec KuJmkf s`irms. Z`m sukkmss kfbms grfb t`m prmgmrmetoid smddoec fg JZ trijms hy jmsoceitmj
smddmrs tf prmgmrrmj huymrs iej os prmvidmet ikrfss i riecm fg hrfamrs t`rfuc`fut idd bfet`dy jiti. Z`m
mxkdusovm trijoec, jormktmj hy idcfrot`bs, t`it tiam pdikm hmtwmme metotoms w`f irm mggmktovmdy kfddujoec wot`
t`mor trijoec, os rmvmidmj hy trijoec jiti is hmoec hft` efe-cmeuoem iej bieopuditovm.
Gurt`mr ossums kfekmre t`m tmejmeky tf ivfoj Jfwetokas w`me smddoec suk` is os mvojmet wot` KOZO, JBC, C[
iej [F[D. Z`mrm os idsf t`m tmejmeky tf ivfoj Jfwetoka purk`isms jmspotm strfec huyoec prfgodms oe t`m
biramt w`ok` os mvojmet oe jiody jiti iej tf ie mxtmet fvmr t`m dfecmr tmrb hy KFBB iej BIKY.
HXFAMX KFB\IXO[FE[
O[[]M[ KFEKMXEOEC IDCFXOZ@B[
Fggokoid r`mtfrok kfekmreoec idcfrot`bs fgtme oevfdvms stitmbmets suk` is t`m gfddfwoec w`ok` wis wrottme hy
ie I[OK Fggokmr oe rmspfesm tf t`m kfekmres fg i KuJmkf s`irm`fdjmr>
Ot os obpfrtiet tf eftm t`it t`m sbidd vidum triesiktofes tf w`ok` yfu rmgmr oe yfur dmttmr, irm dircmdy t`m rmsudt
wot` idcfrot`bok trijoec w`ok` fgtme hrmia jfwe dircmr frjmrs tf boeobosm biramt obpikt hy trijoec i dircm
eubhmr fg sbidd frjmrs t`rfuc`fut t`m jiy. S`odm t`m triesiktofes kie ippmir ueusuid w`me dffamj it oe
osfditofe, t`my irm eft emkmssirody oejokitovm fg biramt bieopuditofe.
Z`m rmidoty oe = bfet`s fg trijoec gfr KuJmkf os t`it t`m dmijoec smddmrs fg Jfwetokas usmj idcfrot`bs tfcmemritm trijms fg sbidd pirkmd sozms t`it rmdmetdmssdy tircmtmj dfwmr prokms iej oe gikt bixobozmj t`m obpikt
fg t`mor smddoec t`rfuc` suk` triesiktofes. Z`m I[OK ijvokm os jmgoeotmdy eft suppfrtmj hy rmsmirk` goejoecs.
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Idsf, t`mrm os ef wiy t`it suk` trijms kfudj rmprmsmet cmeuoem smddoec is jmgoemj rmkmetdy hy t`m Iustridoie
@oc` Kfurt oe i rmkmet nujcmbmet pmrtioeoec tf s`irm prokm bieopuditofe, voz.1
Z`m gfrkms fg cmeuoem suppdy iej jmbiej irm t`fsm w`ok` irm krmitmj oe i biramt hy huymrs w`fsm purpfsm
os tf ikquorm it t`m dfwmst iviodihdm prokm iej smddmrs w`fsm purpfsm os tf smdd it t`m `oc`mst rmidosihdm prokm.
I subbiry fg t`m dmijoec Jfwetoka smddmrs gfr t`m = bfet`s pmrofj os prfvojmj oe t`m tihdm t`it gfddfws.
Jfwetoka trijms `ivm hmme kfbpirmj tf mik` hrfamrs smddoec prfgodm gfr idd trijoec. Idsf t`m prfpfrtofe fg
JZ trijms rmprmsmetmj hy hrfamr krfssoecs `is idsf hmme oekdujmj.
JZ trijms oevfdvoec pirkmd sozms gmwmr t`ie :
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J]HOF][ ZXIJOEC IEFBIDOM[ H_ DMIJOEC HXFAMX[ ]H[ IEJ B[JS
Z`m gfddfwoec k`irts `oc`doc`t sfbm fg t`m trijoec uejmrtiame hy prfboemet hrfamrs ]H[ iej B[JS w`mrm
t`mrm `is hmme i tmejmeky tf tircmt dfwmr prokms wot` t`mor smddoec t`rfuc`fut t`m =-bfet` pmrofj.
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[]BBIX_KuJmkf Zrijoec Nieuiry 8
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KFEZMEZ[
[mktofe 9 ..... \c. 98
0.;.9 HIKACXF]EJ OEGFXBIZOFE KFEKMXEOEC KuJMKF ZXIJOEC
[mktofe 8 ........ \c. 93
0.;.8 BFEZ@D_ JFSEZOKA ZXMEJ[ XMCIXJOEC KuJMKF ZXIJOECNieuiry iej Gmhruiry 8
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[mktofe 0.;.9
HIKACXF]EJ
Xmdmviet Biramt Oegfrbitofe gfr t`m \mrofj Nieuiry tf Biy 8
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9;
0.;.9.9 KuJMKF (KJ]) [@IXM \XOKM K@IXZNieuiry 8
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9:
0.;.9.; KuJMKF (KJ]) [@IXM \XOKM WMX[][ F\ME [@FXZ \F[OZOFE[ - Nieuiry 8
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9=
0.;.9.: KuJMKF[ \F[OZOFE OE Z@M JMWMDF\BMEZ K_KDMFG IE MP\DFXMX ZXIE[OZOFEOEC ZF BOEOEC
Z`m k`irt os mxtriktmj grfb ie irtokdm t`it joskussms t`m prfkmss fg ie mxpdfrmr triesotofeoec oetf boeoec igtmr
joskfvmroec ie frm hfjy t`it wirriets jmvmdfpbmet4XMGMXMEKM DOEA5.Z`m jmkosofe tf prfkmmj fhvofusdy
rmquorms givfurihdm mkfefbok stujoms oe frjmr tf smt up t`m emkmssiry oegristrukturm tf mxtrikt boemrids.
KuJmkf os pfsotofemj wmdd oetf t`m jmvmdfpbmet p`ism w`mrm trijotofeiddy t`mrm os ie oekrmism oe s`irm
prokms is t`m prfnmkt os jm-rosamj iej oestotutofeid oevmstfrs ikquorm stfka oe ietokopitofe fg kipotid crfwt`
iej jovojmejs. Boeoec kie stirt idbfst obbmjoitmdy covme t`m Kfbpieys oetmetofes fg s`oppoec `oc` crijm
frm efw t`it t`m krus`oec korkuot `is hmme kfbpdmtmj iej kfbbossofemj. Z`m pdie os tf smpiritm rok` eitovm
kfppmr iej `oc` crijm k`idkfkotm frm gfr s`oppoec, w`odm stfkapodoec dfwmr crijm frm uetod t`m gudd prfkmssoec
korkuot os fpmritofeid. Ie mstobitm fg KuJmkfs pfsotofe fe t`m k`irt os prfvojmj.
Z`m Kfbpieys pfsotofe fe t`m k`irt fuc`t tf hm ikkfbpieomj hy s`irm prokm ipprmkoitofe, eft t`m rmjuktofes
oe prokm t`it `ivm fkkurrmj t`rfuc`fut 8
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0.;.9.= IEFBIDF][ JFSEZOKA ZXMEJ[ I[ IE OEJOKIZFX FG BIEO\]DIZOWM IKZOWOZ_
I kfbpirosfe fg Jfwetokas ik`omvmj hy hrfamrs wot` t`mor smddoec, icioest t`mor biramt s`irm fg smddoec
cmemriddy, prfvojms i riecm fg skmeirofs t`it kie hm usmj tf issmss t`m cmeuoemss fg trijoec.
Jfwetoka triesiktofes prfpfrtofeitmdy buk` dircmr t`ie i hrfamrs smddoec prfgodm is (s`fwe hy 9 hmdfw), os
ik`omvmj t`rfuc` dircm eubhmrs fg sbidd trijms put t`rfuc` t`m biramt it dfwmr prokms. [uk` triesiktofes irm
kfbpdmtmdy kfetrijoktfry tf w`it t`m @oc` Kfurt `is rmgmrrmj tf is cmeuoem smddoec iktovoty.4XMGMXMEKM DOEA5
Z`m gfrkms fg cmeuoem suppdy iej jmbiej irm t`fsm w`ok` irm krmitmj oe i biramt hy huymrs w`fsm purpfsm
os tf ikquorm it t`m dfwmst iviodihdm prokm iej smddmrs w`fsm purpfsm os tf smdd it t`m `oc`mst rmidozihdm prokm.
[bidd ibfuets fg smddoec t`it jmdohmritmdy tircmts dfwmr prokms oe i vmry suhstietoid wiy kie fedy hm rmcirjmj is
bieopuditovm. @mivy smddoec t`it ivfojs Jfwetoka triesiktofes os sobodirdy juhofus (Xmgmr 8 hmdfw), w`odm smddoec
dmvmds t`it irm kfbbmesuritm wot` t`m prfpfrtofe fg Jfwetokas ik`omvmj ippmirs rmisfeihdm. (Xmgmr ;).
[obodirdy, huyoec t`it kfesostmetdy ittrikts dircm eubhmrs fg gfrtuotfus JZ purk`isms (Xmgmr I hmdfw) succmsts
efe-cmeuoem trijoec iej pfssohdm hrfamr kfddusofe voi t`mor idcfrot`bs. Idsf, strfec huyoec t`it tmejs tf ivfoj
Jfwetokas (Xmgmr H) os ueusuid iej icioe t`m rmsudt fg juhofus trijoec iktofes hy idcfrot`bs.
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[mktofe 0.;.8
BFEZ@D_ JFSEZOKA ZXMEJ[ XMCIXJOEC KuJMKF ZXIJOEC
Nieuiry 8
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0.;.8.9.; IEFBIDF][ JIOD_ JFSEZOKA [MDDOECNieuiry 8
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8Joibfej Jroddoec Hmcoes it Xfkadiejs [fut`
Jitm K`irt Jiti \rokm Iktofe
Nie 0, 8
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=9
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M :
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M =
Zotdm>Yuirtmrdy Xmpfrt
Jitm K`irt Jiti \rokm Iktofe
Nie ;9, 8
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ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M = kfetj
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 7
KFBBMEZ>
I vmry sukkmssgud jrodd oetmrkmpt wis bmt hy smddoec
hy ]H[, KOZO iej [HIX iej huyoec hy KOZO, KFBB
iej BMXD. @oc`dy ieibfdfus dmvmds fg JZ
triesiktofes wmrm issfkoitmj wot` ]H[ & BMXD is
smddmrs iej hy BMXD & CMZKF is huymrs.
Z`m oestotutofeid rmiktofe tf cffj emws gfddfwmj
t`m rmiktofe tf idd prfbosoec ieefuekmbmets. o.m.,
t`m suppdyoec fg k`ure trijms t`it rmstroktmj prokm
oekrmisms.
Z`m s`irm prokm gmdd 8 kmets oe rmspfesm tf
prfbosoec emws t`it biy dmij tf oekrmismj
rmsfurkms.
.
\rfpfrtofe fg JZ Huys
\rfpfrtofe fg Idd Huyoec
Jfwetoka \urk`isms kfbpirmj tf Idd Huyoec
Zotdm>Xfkadiejs ]pjitm 0;b L :.7?% Ku mquov.
Jitm K`irt Jiti \rokm Iktofe
Gmh 7, 8
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=;
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 3
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 0
Zotdm>[oefstmmd rmkmovms GOXH Ipprfvid
Jitm K`irt Jiti \rokm Iktofe
Gmh 3, 8
]H[ smozmj upfe ie ieefuekmbmet hy [oefstmmd
cioeoec GOXH ipprfvid tf tiam up s`irms oe KJ] tf
iccrmssovmdy smdd s`irms, pirtokudirdy t`rfuc` JZ
trijms. Oestotutofeid smddoec idsf fkkurrmj hy [HIX
iej N\B. Z`m smddoec bijm ef dfcokid smesm is t`m
[oefstmmd ieefuekmbmet wis i dircm vftm fg
kfegojmekm oe t`m prfnmkt.
Fe t`m fppfsoec sojm fg smddoec wmrm oestotutofeid
purk`isms hy \MZXI, OE[Z iej KFBB. \mtriKipotid wis t`m dmijoec huymr wot` 90.=% fg idd
huyoec ymt fedy bieicmj tf poka up :.=% fg JZ
sidms. Ot gurt`mr `oc`doc`ts t`m smdmktovm frjmr
mxmkutofe kipihodoty fg idcfrot`bs. Oestoemt iej
Cmtkf wmrm fhvofusdy t`m prmgmrrmj huymrs gfr JZ
triesiktofes.
Krmjot [uossms huyoec
os `oc`dy juhofus.
\rfpfrtofe fg JZ Huys
\rfpfrtofe fg Idd Huyoec
Jfwetoka \urk`isms kfbpirmj tf Idd Huyoec
Zotdm>Ku Crijm & Sojt` oekrmisoec it Jmpt`
Jitm K`irt Jiti \rokm Iktofe
Gmh 8=, 8
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ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 0 kfetj
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M ?
KFBBMEZ>
Mekfuricmbmet wot` jroddoec sukkmss os irjdy i
jmvmdfpbmet t`it s`fudj wirriet i strfec ittmbpt
tf smdd jfwe t`m s`irm prokm is wis diuek`mj hy
Bfmdos [mkurotoms.
Kfekmrtmj smddoec hy Bfmdos mdpmj tf jrfp t`ms`irm prokm hy : kmets hut kurofusdy, t`mor strfec
smddoec w`ok` ibfuetmj tf =7% fg idd sidms, fedy
ikkfuetmj gfr 7% fg Jfwetokas oe prokm. Ijjoec
gurt`mr suspokofe tf trijoec wis t`it Oestoemt (OE[Z)
rmkfrjmj emirdy 7Jormktfr Huyoec
Jitm K`irt Jiti \rokm Iktofe
Gmh 87, 8
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ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 9Hmkfboec i [uhstietoid @fdjmr- [oefstmmd
Jitm K`irt Jiti \rokm Iktofe
Bir 9, 8
[oefstmmd hmkfboec i binfr s`irm`fdjmr wis
smozmj upfe hy ]H[, N\B, KOZO iej B[JS tf
smdd jfwe t`m s`irm prokm. @oc`dy iefbidfus
JZ prmssurm wis prfvojmj hy BMXD dmijoec
tf ie 99 kmet gidd. Z`m smddoec wis bmt hy
huyoec grfb KFBB, ]H[, JBC iej C[ icioe
succmstoec t`it oestotutofes wmrm sobpdy
k`ureoec s`irms tf jrfp t`m s`irm prokm.
CMZKFs s`irm fg JZ purk`isms os idsf `oc`dy
juhofus.
\rfpfrtofe fg JZ Huys
\rfpfrtofe fg Idd Huyoec
Jfwetoka \urk`isms kfbpirmj tf Idd Huyoec
Zotdm>Xfkadiejs Jmvmdfpbmet ]pjitm
Jitm K`irt Jiti \rokm Iktofe
Bir :, 8
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ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 99 kfetj
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 98
KFBBMEZ>
Juhofus trijoec hm`ivofurs irm icioe oc`doc`tmj
hy t`m smddoec jfwe fg ieft`mr pfsotovm
ieefuekmbmet mridjoec Kfbpiey prfcrmss. [fdoj
smddoec hy KOZO (9
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ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 9;
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 9:
Zotdm>@oc`-Crijm Frm ihfvm Eitovm Kfppmr
Jitm K`irt Jiti \rokm Iktofe
Bir 8K`iecm fg Jormktfrs Oetmrmst
Jitm K`irt Jiti \rokm Iktofe
Bir 8= , 8
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ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 9: kfetj
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 9=
KFBBMEZ>
Oestotutofeid hrfamrs C[, ]H[, JBC, KOZO iej BIKY
icioe siw t`m huyoec fg s`irms hy i Jormktfr is i
rmisfe tf smdd jfwe t`m s`irm prokm. Z`mor smddoec
wis bmt hy huyoec hy oestotutofeid hrfamrs BMXD
JBC, KOZO, C[ iej ]H[. Iujots kfudj pftmetoiddy
rmvmid t`m girkokid eiturm fg trijoec, pirtokudirdy og
hrfamrs wmrm smrvokoec t`m sibm oetmrmsts fr
oetmrmsts iggodoitmj wot` t`mor trijoec. Z`m
iefbidoms issfkoitmj wot` JZ sidms hy ]H[ iej JZ
purk`isms hy BMXD iej JBC moc`tme suspokofes
ihfut trijoec.
\rfpfrtofe fg JZ Huys
\rfpfrtofe fg Idd Huyoec
Jfwetoka \urk`isms kfbpirmj tf Idd Huyoec
Zotdm>[upmr @oc` Crijm mxpfsmj igtmr ? ymir wiot
Jitm K`irt Jiti \rokm Iktofe
Bir 83, 8
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Gurt`mr kdirogokitofe ihfut t`m oc` crijm
boemridozitofe tf hm boemj juroec t`m oeotoid ymirs
fg boeoec dogtmj t`m s`irm prokm hy 3 kmets `fwmvmr
smddoec hy KOZO, JBC, ]H[ BIKY iej B[JS
fppfsmj rosms. BIKY iej B[JS tircmtmj dfwmr
prokms wot` oc` eubhmrs fg Jfwetoka trijms.
Oestotutofeid smddoec wis icioe bitk`mj wot`
oestotutofeid huyoec tfcmt`mr wot` huyoec hy
Kfbbfewmidt` [mkurotoms. Oestotutofeid huyoec t`it
ihsfrhmj oc` eubhmrs fg JZ trijms icioe ittrikts
suspokofe is idcfrot`bs icioe ippmir tf jostrohutm
frjmrs hmtwmme hrfamrs iktoec kfddusovmdy.
\rfpfrtofe fg JZ Huys
\rfpfrtofe fg Idd Huyoec
Jfwetoka \urk`isms kfbpirmj tf Idd Huyoec
Zotdm>[ukkmssgud Krus`oec fg Dircm Eitovm
Kfppmr Bissms
Jitm K`irt Jiti \rokm Iktofe
Ipr 93, 8
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ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 9?
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 8[ukkmssgud Krus`oec fg Dircm Eitovm
Kfppmr Bissms
Jitm K`irt Jiti \rokm Iktofe
Ipr 90, 8
Z`m jiy gfddfwoec sukkmssgud krus`oec troids wmrm
ieefuekmj, t`m s`irm prokm wis icioe sfdj jfwe
rmsudtoec oe i gidd fg 97 kmets. Z`m smddoec kibm
grfb C[, KOZO, JBC iej BIKY wot` OE[Z oe
pirtokudir tircmtoec dfwmr prokms hy ik`omvoec oc`
dmvmds fg JZ trijms (o.m. :=% hut wot` fedy =% fg
t`m smddoec t`it jiy). Z`m iefbidfus smddoec hy
OE[Z wis bitk`mj hy iefbidfus JZ purk`isms hy
WOXZ], CMZKF iej BMXD gurt`mr succmstoec
kfddusofe hy oestotutofeid hrfamrs t`rfuc` t`mor
idcfrot`bs. Z`m smdd jfwe dffas `oc`dy juhofus
covme t`m strfec prfcrmss rmpfrtmj hy t`m
kfbpiey.
\rfpfrtofe fg JZ Huys
\rfpfrtofe fg Idd Huyoec
Jfwetoka \urk`isms kfbpirmj tf Idd Huyoec
Zotdm>@oc`-Crijm Kfppmr it Xfkadiejs [fut`
Jitm K`irt Jiti \rokm Iktofe
Ipr 8?, 8
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7;
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 88
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 8;
Zotdm>>Xfkadiej [fut` 98b L :.;8% KuMq
Jitm K`irt Jiti \rokm Iktofe
Biy ;, 8
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65/89
7=
ZXIJOEC FE IEEF]EKMBMEZ JI_[KI[M 8=
Zotdm>@oc`-Crijm Xmsudts & Emw Joskfvmry ^fem
Jitm K`irt Jiti \rokm Iktofe
Biy 83, 8
Oestotutofeid oevmstfrs icioe s`fwmj t`mor
josjioe gfr emw jroddoec sukkmss hy jubpoec
s`irms fe emws fg ie ijjotofeid kfppmr goej.
Z`mor smddoec biams ef smesm oe tmrbs fg
cmeuoem oevmstoec. Xit`mr, ot succmsts s`irm
prokm bieopuditofe is vortuiddy idd cffj emws
`is hmme bmt hy wivms fg smddoec. K[]O wis
t`m dmijoec smddmr hy vfdubm, w`ok`ueusuiddy gfr t`mb tmejmj tf ivfoj JZs oe
prokm fe Biy 83.
@oc`dy iefbidfus huyoec wis mvojmekmj hy
OE[Z wot` 0.3% fg huyoec vfdubms rmsudtoec
oe 8:.9% fg idd JZ purk`isms.
\rfpfrtofe fg JZ Huys
\rfpfrtofe fg Idd Huyoec
Jfwetoka \urk`isms kfbpirmj tf Idd Huyoec
Iefbidfus dmvmds fg JZ
sidms hy BMXD & B[JS
@oc`dy iefbidfus dmvmds fg
JZ huys hy OE[Z
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77
[mktofe 0.;.7
KFEZXFD FWMX KuJMKF I]KZOFE ZXIJOEC
Nieuiry t`rfuc` tf Biy 8
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73
0.;.7.9.9 NIE]IX_ 8
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8/12/2019 ASIC Complaint 3
68/89
70
0.;.7.9.8 NIE]IX_ 8
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69/89
7?
0.;.7.8.9 GMHX]IX_ 8
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70/89
3 Irm rmprmsmetmj hy pmrsfeid `fdjoecs fr s`irms mdj oe sbidd provitm kfbpieoms.
FGG FE EMZ
Kfrpfritm Metotoms 8,;3?,09: 8,90;,
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03
]H[s `oc` dmvmdfg iefbidfus JZ trijms fvmr t`m =-bfet` pmrofj os kipturmj oe t`m gfddfwoec k`irt. Z`m
eubhmr fg sbidd trijms t`it gfrkmj Jfwetokas oe prokm os mxtrmbmdy rmvmidoec. Ot `oc`doc`ts trijoec t it `is
prfvojmj jfwewirj prmssurm fe prokoec dmvmds rit`mr t`ie ik`omvoec t`m hmst rmtures gfr sidms. ]H[ trijoec
strfecdy kfetrijokts t`m @oc` Kfurts kdirogokitofe fg `fw i cmeuoem smddmr os bmiet tf fpmritm oe t`m biramt.
Z`m gfddfwoec k`irt subbirozms ]H[s trijoec fvmrvirofus pmrofjs juroec t`m dist t`rmm iej i `idg ymirs. Z`m
kfesostmetdy `oc` smttdmbmet pirtokopitofe hy ]H[ [mkurotoms, jmspotm buk` dfwmr trijoec prfgodms oe t`m
biramt, os i prfboemet gmiturm fg idd trijoec. Wmry dottdm trijoec os triespirmet iej rmkfekodihdm wot`
s`irm`fdjmr bfvmbmets. Z`m triespirmeky ossum idsf ippdoms tf idd fg t`m oestotutofeid hrfamrs oekdujoec KOZO,
JBC, B[JS, BMXD, BIKY, iej C[. Ot biams s`irm prokm bieopuditofe iej biramt oetmcroty ossums mxtrmbmdy
joggokudt tf rmsfdvm uejmr kurrmet irriecmbmets ymt t`m rmcuditfr oset prmpirmj tf tiam stmps tf mesurm gudd
triespirmeky w`ok` wfudj obbmjoitmdy rmbmjy t`m sotuitofe.
\mrofj% fg I[P
Zrijoec
% fg Hrfamr
[mttdmbmets
% fg
[`irm`fdjmr
Bfvmbmets
Hrfamr Efboemm Metoty
% fg idd
Efboemm
[`irm Gdfws
\mrofj Efv/Jmk 8
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00
Z`m dmijoec rfdms hy ]H[ is i emt-smddmr fg stfka, is t`m dmijoec smddmr fg Jfwetoka trijms iej oe hmoec
prfboemet oe kfetrfddoec iuktofe prokms, rmquorms kdirogokitofe t`rfuc` iujots pirtokudirdy is ots biramt s`irm
hy tftid vidum fg trijms rieamj fedy gfurt`. Idsf, ots dmvmd fg huyoec iej smddoec wis fedy irfuej i t`orj t`it
fg t`m dmijoec hrfamr (hy tftid vidum fg trijms) w`ok` wis Kfbbfewmidt` [mkurotoms.
Z`m dmijoec emt-smddmrs fvmr t`m pmrofj 8
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0?
I\\MEJOP 9[ubbiry fg Hrfamr Zrijoec Jiti Nieuiry 8