From Maacuteire SpillaneSubject Nominees for the ad hoc CommitteeDate Monday September 9 2019 124644 PMAttachments image001gif

OTX - List of Candidates for the ad hoc CommitteepdfVoting Form ad hoc Committeedocx

Dear clientcreditor Further to our recent correspondence please find attached the details and CVs of 13 candidates forthe ad hoc Committee As we have had significant interest in this committee we have decided to amend the votingprocedure Please select up to 5 candidates from the voting form provided This form can bereturned to mairespillanekrys-globalcom no later than 9pm (EST) on 10 September 2019 Should you have any questions please do not hesitate to contact me Kind regardsMaacuteire

MAacuteIRE SPILLANEManagerT +1 345 947 4700 | D +1 345 815 8442 | F +1 345 946 6728MaireSpillanekrys-globalcom | wwwKRyS-Globalcom

KRyS GlobalGovernors Square middot Building 6 middot 2nd Floor middot 23 Lime Tree Bay AvenuePO Box 31237 middot Grand Cayman middot KY1-1205 middot Cayman Islands

Cayman Islands middot BVI middot Bermuda middot Guernsey middot Hong Kong middot London middot Singapore middot USA

Nominee 1

Candidate Peter D Anderson

Profession Chartered Accountant working in Private Consultancy

Employer Self Employed

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo)

PETER DAVID ANDERSON

RESUME

1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS

1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons

1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND

WORK EXPERIENCE

1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND

1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND

1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager

1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner

2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner

2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS

Partner

2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant

2017 - Present PRIVATE CONSULTANT

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo)

PETER DAVID ANDERSON

RESUME

1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS

1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons

1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND

WORK EXPERIENCE

1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND

1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND

1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager

1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner

2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner

2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS

Partner

2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant

2017 - Present PRIVATE CONSULTANT

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

PETER DAVID ANDERSON

RESUME

1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS

1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons

1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND

WORK EXPERIENCE

1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND

1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND

1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager

1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner

2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner

2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS

Partner

2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant

2017 - Present PRIVATE CONSULTANT

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

ONETRADEX LTD (IN PROVISIONAL LIQUIDATION)

VOTING FORM FOR MEMBER OF ad hoc COMMITTEE

Please complete this form in block capital letters in its entirety and return it to 9pm (EST) on 10 September 2019

Name of Creditor or Client
|_| Individual |_| Company IWe hereby vote for the following person to be a member of the ad hoc Committee of OneTRADEx LTD (In Provisional Liquidation) IWe CERTIFY that the above information is complete and correct to the best of my knowledge and belief and IWe undertake that IWe will notify the Joint Provisional Liquidators of any material changes affecting the completeness of details provided above Signature ________________________________________Date Signature ________________________________________Date Signature ________________________________________Date Nominee 1 Candidate Peter D Anderson Profession Chartered Accountant working in Private Consultancy Employer Self Employed Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo) PETER DAVID ANDERSON RESUME 1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS 1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons 1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND WORK EXPERIENCE 1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND 1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND 1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager 1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner 2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS Partner 2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant 2017 - Present PRIVATE CONSULTANT Nominee 2 Candidate Adrian C Ansell Profession IT Consultant Employer Self Employed Representing Client interests Located Canada previously of the Philippines Assets held with Interactive Brokers account holder Nominee 3 Candidate Andrew Bolton Profession Attorney Employer Previously of Appleby retired Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder ANDREW BOLTON Skil ls Summary Cayman Islands Attorney Recently retired senior partner of international law firm with 30 yearsrsquo professional experience well known in the Cayman business community Education Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985 The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7 Nottingham Law School LLM Advanced Litigation 1997 Experience Freshfields (now Freshf ields Bruckhaus Deringer) Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels offices of Freshfields including a year on secondment to the Bank of England Specialised in commercial and regulatory litigation (No longer practising as English Solicitor) Appleby (Cayman) Ltd (and predecessor firms) Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with Appleby Spurling amp Kempe of Bermuda Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos global head of litigation and insolvency Retired from full time practice in March 2019 remaining with Appleby as consultant Extensive experience of most areas of commercial and company litigation and insolvency law in the Cayman islands Other positions held Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory Authority Chairman of Canal Point Homeowners Association Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex in Cayman that is currently engaged in a $400 million redevelopment Nominee 4 Candidate Peter A Broadhurst Profession Attorney Employer Broadhurst attorneys at law Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 5 Candidate Robbie Cribb Jr Profession Certified Accountant Employer Rawlinson amp Hunter Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 6 Candidate Simon R Ecclefield Profession Investment Professional Employer Non-Executive Director of IPAF Group Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Simon R Ecclefield Biography Summary of Professional Experience Highly experienced investment professional having worked in global equity markets for over 30 years covering all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative investment structures seeking best-in-class governance and oversight Employment Background 2014+ Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund Aug 2008 ndash Aug 2014 Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions June 1999 ndash July 2008 European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012 June 1998 ndash June 1999 Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year) May 1996- May 1998 Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area Dec 1988 ndash May 1996 Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo 1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85 The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market 1976 ndash 1983 81-83 76-81 The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices Detail of Educational Experience The following US SEC licenses are held and are current Series 7 63 24 55 Formerly held the FSA licence and the Investment Representative in Canada Other Professional and Personal Competencies Was a Leading member of the BACC in NY Active Dive Enthusiast and owner of a Cayman Islands diving company Contact Details Nominee 7 Candidate Samantha Hennings Profession Certified Accountant Employer KPMG Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Nominee 8 Candidate Kevin Line Profession Mechanical Engineer Employer Dart Real Estate Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Kevin Line PEng EDUCATION BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370 PROFESSIONAL EXPERIENCE Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets OTHER Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office Nominee 9 Candidate Michael Lubin Profession Attorney Employer AAMC Cayman SEZC Ltd Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder M I C H A E L L U B I N L L B P R O F E S S I O N A L E X P E R I E N C E AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation January 2016 -Present Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary February 2014 ndash January 2016 Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to o mergers and acquisitions including a purchase agreement pursuant to which New Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion o mortgage related asset acquisition and disposition transactions including the purchase of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc o debt financings repurchase agreements and securitization transactions including new note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility o corporate governance board and committee proceedings and public company reporting all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements o litigation management and resolution including in relation to class action and derivative claims o the formulation and monitoring of compliance procedures and legal policies o the provision of legal services by external counsel in accordance with strict budgetary requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012 Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions M I C H A E L L U B I N L L B Investment funds practice included o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies o advising in relation to investment fund structuring regulation restructuring liquidity management investor relations and associated corporate transactions Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007 Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies Advised Bell Canada executives on revenue generating and procurement transactions Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001 Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance E D U C A T I O N Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba 1999 ndash 2002 Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and Policy (2002) o Archie Micay QC Prize for highest standing in Business Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law (2000) Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998 M I C H A E L L U B I N L L B Distinctions o Scholarship exchange - one year Rhodes University Grahamstown South Africa o Bishoprsquos University Deanrsquos List R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T Nominee 10 Candidate Richard T Maparura Profession Portfolio Manager Employer Butterfield Bank Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Richard T Maparura CA CFA 1 Personal information Gender Male Date of Birth 30 June 1983 Personal summary Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities Relevant skills amp capabilities An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value Strong staff and project management skills and ability to interact with external service providers at senior management level Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit) Strategic management across multiple business locations and industries High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS Employment experience Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current) Asset Management ndash Portfolio Manager Managing a book of high net worth clients by understanding their financial needs their risk tolerance and investment time horizon and by creating an appropriate investment policy statement Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy Implementing asset allocation as decided by the Group Investment Committee Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists Creating and delivering proposals and presentations for clients or potential clients Participating in and contributing to the Grouprsquos investment process Providing technical analytical and administrative expertise to the department Richard T Maparura CA CFA 2 Employment experience EFG Bank (Cayman Islands) (June 2015 ndash Current) Trading and Treasury - Senior Trader Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products Developing and maintaining strong relationships with external counterparties and vendors Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products Managing the day to day treasury of the bank hedging and bank exposure management EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015) Hedge Fund Professional ndash Senior Fund Accountant Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities) Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities) Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012) Accounting and Auditing - Supervising Senior Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services Preparing audit deliverables including communications with senior management through various audit reports and in person conversation Reviewing and recommending to senior management on internal control deficiencies and improvements thereon Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator Richard T Maparura CA CFA 3 Education amp Qualifications Chartered Financial Analyst (CFA) Institute of Chartered Financial Analyst (ICFA) ndash 2016 Chartered Accountant (CA (Z)) Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010 Bachelor of Accounting Science Honours Degree University of South Africa (UNISA) ndash 2008 Diploma in Banking Institute of Bankers of Zimbabwe (IOBZ) - 2008 Bachelor of Commerce Honours Degree in Accounting National University of Science and Technology (NUST) ndash 2007 Referees Patricia Castro Head of Fund Services (USA amp Cayman Islands) EFG Investments Services (Cayman) Hellen Chemeli Audit Director Alternative Investments amp Hedge Funds KPMG Cayman Islands Themba Mudidi Audit Partner Banking and Finance Department KPMG Zimbabwe Nominee 11 Candidate Blair Miller Profession Fund Manager Employer SGGG Fund Services (Cayman) Inc Representing Client interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder BLAIR MILLER EDUCATION CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS CAIA 2006 THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO CIM 2001 THE CANADIAN SECURITIES INSTITUTE Toronto Ontario The Canadian Securities Course 1998 WESTERN UNIVERSITY London Ontario Bachelor of Business Administration 1997 TRINITY COLLEGE SCHOOL Port Hope Ontario Ontario Secondary School Diploma (OSSD) 1992 EMPLOYMENT SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT bull Assist and support the Managing Director in ensuring the effective operation and performance of the business bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive documents wire transfers minutes and resolutions financial statements and bank account openings bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board meetings bull Accept appointment as AMLCO MLRO or DMLRO for client funds bull Assist with designing implementing and overseeing internal controls and operating procedures bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all regulatory and compliance requirements are met bull Act as a support and resource for RTA administrators THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017 bull Responsible for liaising with attorneys investment managers brokers and other financial service providers globally to support fund Directors in performing their duties bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements on behalf of fund Directors bull Assisted with designing implementing and overseeing internal controls and operating procedures bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that all regulatory and compliance requirements are met bull Acted as a support and resource for client administrators DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014 bull Serveed as an independent director on the boards of investment management companies (primarily) and hedge funds bull Responsible for cultivating enhancing and maintaining client relationships bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other independent directors particularly with respect to investment management companies bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment Advisors bull Reviewed and approved net asset value files on behalf of investment management companies bull Independent assessment of security values when securities were rebalanced between portfolios bull Appraised client activity to detect opportunities to promote additional services bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory undertakings such as SIBL applications and FATCA FRO appointments and registrations bull Supervised and acted as a resource for 1-3 client administrators UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007 bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment funds bull Correspond with external fund managers and custodians bull Reconcile portfolios and cash balances bull Price financial instruments and report corporate actions bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007 bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio containing over 400 underlying positions bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures and executing currency forward trades routinely in excess of $250 million bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep bull Prepare audit working papers and respond to questions from external auditors CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006 MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005 MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004 MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999 SKILLS bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications CRM systems and Email bull Excellent interpersonal and communication skills bull Strong analytical and problem solving techniques Nominee 12 Candidate Brian Morain Profession Cash and Funds Flow Manager Employer Cayman Islands Government Representing Client Interests Located Grand Cayman Cayman Islands Assets held with Interactive Brokers account holder Brian Morain CFA CPA FCCA Objective To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter not harder whilst constantly adding value Professional Experience Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government inclusive of cheques wires drafts and related- party transactions Reviewed developed and implemented systems for cash management (30M) debt management (600M) and investment management (650M) Managed short term cash flows and future forecasts covering 100+ bank accounts Developed and implemented strategies for reducing bank fees and charges increasing interest income reducing debt expenses and reducing the number of bank accounts across Government entities Managed developed and trained team members for the use of developed management systems Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public Sector involving all government ministries government companies inclusive of inter-company eliminations Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and consistencies to provide accurate and timely reports Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit (BMU) inclusive of Ministries Portfolios and Statutory Authorities Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial Management Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and budgetary control of operating and expansion projects Annual budget up to $8 billion USD Responsibility for management reporting of ALNG group of companies prior to distribution to board members shareholder companies and executive management Coordination with the Commercial Planning Technical Services and Operations Departments for strategic direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management accounting processes Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and expansion projects Cash management of up to $300 million USD Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance with all governing agreements and contracts Coaching and professional developing of team members through coordination with the Human Resources Department Continuous Improvement of the budgeting and management accounting processes to take into account approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal efficiencies Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to companyrsquos strategy and compliance issues Development and monitoring of internal controls and policies to prevent irregularities and safeguard the companyrsquos assets in a multi-train and multi-company environment Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT Financial compliance of all contractual agreements including Common Security and Debt Construction Swap Methanol Sales and Natural Gas Purchases agreements Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control Financial reporting including statutory compliance and management reporting Implementation of a management accounting system after completion of major project Administering internal controls including developing policies and procedures for compliance to International Accounting Standards Financial accountability and responsibility of accounting transactions of the corporate office and that of the operator (Process Plant Services Limited) Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT Financial reporting including statutory compliance and management reporting for a multi-plant facility Budgeting Financial planning and modeling including forecasting budgeting and budgetary control Management and investing of local and foreign currencies (USD Yen DM) Supervision of the team responsible for management reporting budgeting and treasury Managing the operation of the entire Finance Department in the absence of the Chief Accountant Professional Education 2002-2006 CFA Institute USA Completed the Chartered Financial Analyst (CFA) Program 1999 Becker Review Port of Spain TampT Completed Certified Public Accountant (CPA) examinations 1994-1998 Students Accountancy Center Chaguanas TampT Completed Association of Chartered Certified Accountants (ACCA) examinations Membership Charterholder CFA institute CFA Society Cayman Islands Fellow Chartered Certified Accountant - ACCA Major Achievements Treasury Department - Cayman Islands Government Increased interest income by 95 over budget Automation of reports and journals for Investment and Loan Management systems Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90 Budget amp Management Unit - Cayman Islands Government Reduced the time for the production of consolidated financial statements and budget reports by up to 80 Ensured more consistency in the accounting for transactions across government by assisting in the development of accounting policies and procedures Working with a smaller team whilst increasing efficiency and productivity Developed in-house budget input templates that were more comprehensive and user-friendly than customized purchased software Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages Atlantic LNG Company of TampT Being part of the financial team to successfully implement and complete the management reporting process by the 10th of the following month Recommendations for the accounting of complex transactions to the acceptance of various stakeholders Excellent results of the team involved in strategic cash management Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization achieve its objective Titan Methanol Company Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks Recipient of a one-time special bonus for the development of the above model Being part of the financial team to successfully negotiate additional credit facility of USD 10M Correctly forecasted cash balances and requirements within 5 Prepared management reports within 5 working days from month end Trinidad and Tobago Methanol Company Developed time-reduction procedures for financial Statements preparation including the use of macros Training subordinate staff to account for complex transactions Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago and undertake a project to increase production by 20 A process-design recommendation that was subsequently implemented with major fuel gas saving Selected Training International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and Measuring Financial Risks Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of Constructing Financial Models Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud Nominee 13 Candidate Karen Orsquo Brien Profession Compliance Specialist Employer GCS Advisory Representing Creditor Interests Located Grand Cayman Cayman Islands Karen A OrsquoBrien CAMS CCS SUMMARY OF QUALIFICATIONS________________________________________________ bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields bull Cross industry compliance regulatory and risk consultant bull Excellent oral communication and presentation skills bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included bull Management and maintenance of internal compliance programs and operational oversight bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping bull Develop and implementation of client risk matrix bull Risk monitoring and assessment bull Project oversight and statistical report compilation bull Enhanced due diligence troublesome KYC investigation and resolution bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing bull Designed developed and delivered all level of AML training for various industries bull Conducted internal fraudfinancial investigations and background research bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business bull Liaise with external bodies bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados 2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor Karen A OrsquoBrien bull Overall independent charge of compliance and administrators in Share Registration bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions bull Liaising with investment managers in respect of complaintsproblems bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors 2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance bull Contracted outsource service provider bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations 2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime bull First Canadian police officer seconded from The Toronto Police Service bull Investigation and prosecution of serious financial crimes bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence 1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process Karen A OrsquoBrien bull Exposure to all areas or criminal investigation bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member Nominees for the ad hoc Committee OTX - List of Candidates for the ad hoc Committee Candidate Please select up to 5 candidates only Peter D Anderson Adrian C Ansell Andrew Bolton Peter A Broadhurst Robbie Cribb Jr Simon R Ecclefield Samantha Hennings Kevin Line Michael Lubin Richard T Maparura Blair Miller Brian Morain Karen Orsquo Brien Last Name First Name |_| Mr |_| Mrs |_| Miss |_| Ms Full Name of company

Nominee 1

Candidate Peter D Anderson

Profession Chartered Accountant working in Private Consultancy

Employer Self Employed

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo)

PETER DAVID ANDERSON

RESUME

1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS

1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons

1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND

WORK EXPERIENCE

1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND

1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND

1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager

1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner

2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner

2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS

Partner

2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant

2017 - Present PRIVATE CONSULTANT

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Peter D Anderson - Biography Born and raised in Belfast Northern Ireland and graduated with honours in Economics from Queens University Belfast Married with four grown-up children has lived in the Cayman Islands for over 35 years Trained with Coopers amp Lybrand in the UK and qualified as a Chartered Accountant in 1981 following which he moved to Coopers amp Lybrand in the Cayman Islands gaining considerable experience in all aspects of the ldquooffshore marketsrdquo In 1988 he formed Benbow Anderson amp Co Chartered Accountants to provide a wide range of financial services including accounting and the provision of official liquidators and receivers directors and trustees During this time his role involved the management of an offshore bank and an offshore brokerage company In January 2002 Benbow Anderson amp Co was acquired by Deloitte in the Cayman Islands and Peter acted as a partner of that firm and of its sister partnership Rawlinson amp Hunter Following a reorganisation in 2004 Peter moved with two other partners from Deloitte to create a partnership solely for Rawlinson amp Hunter which provided Trust and Corporate services in the Cayman Islands He acted as a Director of the firmrsquos related Trust and Management companies and acted as a Director of numerous Cayman Islands Registered Mutual Funds and other offshore entities In 2010 Peter initiated the formation and oversaw the development of a joint venture between Rawlinson amp Hunter and Smith amp Williamson in London (RHSW Caribbean Ltd or ldquoRHSWrdquo (now RampH Restructuring)) which has become an established entity in the restructuring and liquidation business in the Cayman Islands In 2012 Peter resigned from the Rawlinson amp Hunter partnership but remained a consultant concentrating on the development and management of RHSW until November 2016 Now semi-retired Peter continues to provide a variety of services within the offshore industry Peter was a keen sportsman in his youth and participated in many sports including rugby football and tennis For over 20 years he coached youth football and softball teams Peter has also sat on the boards of many voluntary organisations including the Cayman Islands Rugby Club the Cayman Island Tennis Club the Little League Association the Scouts Association and the National Trust Peter is also a past President of the Cayman Islands Society of Professional Accountants (now ldquoCIIPArdquo)

PETER DAVID ANDERSON

RESUME

1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS

1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons

1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND

WORK EXPERIENCE

1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND

1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND

1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager

1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner

2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner

2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS

Partner

2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant

2017 - Present PRIVATE CONSULTANT

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

PETER DAVID ANDERSON

RESUME

1955 - BORN MARCH 21 1955 BELFAST NORTHERN IRELAND EDUCATION amp QUALIFICATIONS

1972 ndash 1976 QUEENS UNIVERSITY BELFAST NORTHERN IRELAND BSc (Econ) Hons

1981 QUALIFIED AS A CHARTERED ACCOUNTANT INSTITUTE OF IRELAND

WORK EXPERIENCE

1976 ndash 1980 COOPERS amp LYBRAND BELFAST NORTHERN IRELAND

1980 ndash 1982 COOPERS amp LYBRAND EDINBURGH SCOTLAND

1982 ndash 1988 COOPERS amp LYBRAND CAYMAN ISLANDS ManagerSenior Manager

1988 ndash 2001 BENBOW ANDERSON amp CO CAYMAN ISLANDS Partner

2002 ndash 2004 DELOITTE amp TOUCHERAWLINSON amp HUNTER CAYMAN ISLANDS Partner

2004 ndash 2012 RAWLINSON amp HUNTER CAYMAN ISLANDS

Partner

2012 ndash 2016 RAWLINSON amp HUNTER CAYMAN ISLANDS Consultant

2017 - Present PRIVATE CONSULTANT

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 2

Candidate Adrian C Ansell

Profession IT Consultant

Employer Self Employed

Representing Client interests

Located Canada previously of the Philippines

Assets held with Interactive Brokers account holder

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 3

Candidate Andrew Bolton

Profession Attorney

Employer Previously of Appleby retired

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

ANDREW BOLTON

Skil ls Summary

Cayman Islands Attorney Recently retired senior partner of international law firm with 30

yearsrsquo professional experience well known in the Cayman business community

Education

Pembroke College University of Cambridge MA Modern amp Mediaeval Languages 1985

The College of Law London Common Professional Examination amp Solicitorsrsquo Finals 1986-7

Nottingham Law School LLM Advanced Litigation 1997

Experience

Freshfields (now Freshf ields Bruckhaus Deringer)

Trained (1987-89) qualified (1989) and practised as solicitor in the London and Brussels

offices of Freshfields including a year on secondment to the Bank of England Specialised

in commercial and regulatory litigation (No longer practising as English Solicitor)

Appleby (Cayman) Ltd (and predecessor firms)

Moved to Cayman in 1997 to join litigation amp insolvency team of Applebyrsquos predecessor

firm Hunter amp Hunter Became partner in 1999 and played significant part in merger with

Appleby Spurling amp Kempe of Bermuda

Upon further expansion of the firm by merger with a Jersey firm in 2006 became Applebyrsquos

global head of litigation and insolvency

Retired from full time practice in March 2019 remaining with Appleby as consultant

Extensive experience of most areas of commercial and company litigation and insolvency

law in the Cayman islands

Other positions held

Recently appointed Board Member of the newly-formed Cayman Attorneys Regulatory

Authority

Chairman of Canal Point Homeowners Association

Member of Executive Committee of Strata Plan No 62 (Lacovia) a condominium complex

in Cayman that is currently engaged in a $400 million redevelopment

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 4

Candidate Peter A Broadhurst

Profession Attorney

Employer Broadhurst attorneys at law

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 5

Candidate Robbie Cribb Jr

Profession Certified Accountant

Employer Rawlinson amp Hunter

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 6

Candidate Simon R Ecclefield

Profession Investment Professional

Employer Non-Executive Director of IPAF Group

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Simon R Ecclefield Biography

Summary of Professional Experience

Highly experienced investment professional having worked in global equity markets for over 30 years covering

all aspects of stockbroking to institutions hedge funds and alternative investment institutions Simonrsquos career

began in the UK at Kleinwort Benson focusing on international corporate lending and currencyinterest rate

arbitrage then moved to Morgan Grenfell in New York where his role was to develop sales of European equities

to US institutions Following similar positions at BZW Robert Fleming and Alex Brown he was approached to set

up Collins Stewart in New York growing the team from 7 to over 100 people Simon led the Global Sales Trading

desk at JPM from 2008 until 2014 before moving to Cayman in 2015 Simon now performs offshore investment

and risk oversight roles as well as by serves as a Non-Executive Director to a limited number of alternative

investment structures seeking best-in-class governance and oversight

Employment Background

2014+

Non-Executive Director IPAF Group Cayman Islands Panel Director with the IPAF Group in the Cayman Islands Available to serve as a director to boards of hedge private equity and real estate funds as well as SPVrsquos All appointments are undertaken strictly according to the IPAF Grouprsquos principals ndash those of personal responsibility and accountability adding real value (through a genuine experience gained as an investment professional) and limiting the number of directorships appointed to so as to have real time to devote to each fund

Aug 2008 ndash Aug 2014

Trader JP Morgan and Cazenove Inc New York USA Hired by Cazenove to prepare and streamline the Global Sales Trading desk leading up to the integration with JP Morgan Continued within JPM to encompass all aspects of the global equity markets In addition to still covering the traditional markets of Europe Asia and South America I was also given the mandate to help expand JPMrsquos equity market push into Canada through the trading of Canadian research and trading directly to domestic Canadian institutions

June 1999 ndash July 2008

European Equities Sales and Trading Collins Stewart New York USA Together with three partners set up Collins Stewartrsquos NY European Equities and Pan European Sales and Trading Operation This required educating and changing CSrsquos London operations from a purely domestic market stockbroker into a Pan European boutique It was a major plus for the firm in its later London floatation in 2001 From the initial team of seven the firm grew to over 100 at its peak CS was subsequently acquired by Canaccord in 2012

June 1998 ndash June 1999

Sales Trading Alex Brown Inc New York USA Helped the revitalization of the European Equity Sales and Trading Operation which had been under budget by some 24 and was achieving 25 over budget within only five months Restructured antiquated Settlements Department to cope with the increased business flow In just six months my team managed to achieve revenues of some $35 million (The firm only recorded $25 million the previous full year)

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

May 1996- May 1998

Business Management and Trading Robert Fleming Inc New York USA Assisted in the development of the Firmrsquos venture in marketing European Emerging European and Middle Eastern equity markets into the US and equity execution associated with this area

Dec 1988 ndash May 1996

Head of UK European Sales Trading BZW Securities Group New York USA Responsible for the overall development of the International RiskArb activities as well as all program trading Pioneered the concept of delayed delivery which was a forerunner to the creation of lsquocontracts for differencesswapsrsquo

1983 ndash 1988 87 ndash 88 85 ndash 87 83 - 85

The Morgan Grenfell Group New YorkLondonNew York New York Set up and developed the selling of UK and European equities to US institutions London Developed and sold Morgan Grenfellrsquos UK product to British German French and Swiss institutions New York Developed Corporate Bank-LendingDeposit taking operation on behalf of the London based Treasury Division Initiated Firmrsquos direct participation in US government securities market

1976 ndash 1983 81-83 76-81

The Kleinwort Benson Group London New York New York Marketed Lending Products in the US including Sterling Bills of Acceptance International Foreign Exchange and the International Interbank Markets In charge of trading the US loandeposit book Additional activities included credit analysis and marketing London Senior Account Officer responsible for coordinating Kleinwort Bensonrsquos lending via US representative offices

Detail of Educational Experience

The following US SEC licenses are held and are current

Series 7 63 24 55

Formerly held the FSA licence and the Investment Representative in Canada

Other Professional and Personal Competencies

Was a Leading member of the BACC in NY

Active Dive Enthusiast and owner of a Cayman Islands diving company

Contact Details

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 7

Candidate Samantha Hennings

Profession Certified Accountant

Employer KPMG

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 8

Candidate Kevin Line

Profession Mechanical Engineer

Employer Dart Real Estate

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Kevin Line PEng

EDUCATION

BESc Mechanical Engineering - University of Western Ontario 1996 Professional Engineers Ontariorsquos Law and Ethics Exam 1998 Licensed Professional Engineer Since 1998 Lic 90469370

PROFESSIONAL EXPERIENCE

Dart Real Estate ndash Chief Building Engineer (Current) Manage maintenance for properties in Cayman

Mepco Ltd Assistant Manager (2014 ndash 2016) Building contractor in Cayman Experience with liquidation

RealWorld Systems Inc ndash Independent Engineering Consultant (2011 ndash 2014) Due Diligence Project Manager for Sony Corporate Americas with tasks related to the former operations and facilities in Toronto Real estate dispute resolution Environmental assessment and remediation Sony DADC Canada ndash Engineering Manager EMR (2007 ndash 2011) Manufacturer of CD DVD and BluRay optical discs Velcro Canada Inc ndash RampD Leader - Design and Process Engineer (1996 ndash 2006) Manufacturer of Fasteners for the automotive consumer and industrial markets

OTHER

Leisure read syllabus for CFA Level 1 Past Executive Committee member for Plantana Condominiums Grand Cayman Coach for Cayman Islands Little League Baseball (4 years) Listed inventor on 11 patents published with the US Patent Office

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 9

Candidate Michael Lubin

Profession Attorney

Employer AAMC Cayman SEZC Ltd

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

M I C H A E L L U B I N L L B

P R O F E S S I O N A L E X P E R I E N C E

AAMC Cayman SEZC Ltd General Counsel and Secretary to Front Yard Residential Corporation

January 2016 -Present

Role includes the supervision and management of all aspects of Front Yard Residential Corporationrsquos (NYSE RESI) legal and regulatory requirements including securities disclosure corporate governance merger and acquisition transactions complex financing transactions and litigation

Home Loan Servicing Solutions Ltd Senior Vice-President General Counsel and Secretary

February 2014 ndash January 2016

Managed Home Loan Servicing Solutions Ltdrsquos (NASDAQ HLSS) legal and regulatory functions and advised the companyrsquos senior executives and its board of directors in relation to

o mergers and acquisitions including a purchase agreement pursuant to which New

Residential Investment Corp (NYSE NRZ) a REIT externally managed by Fortress Investment Group LLC acquired substantially all of the assets and assumed substantially all of the liabilities of HLSS for a total purchase price of approximately $14 billion

o mortgage related asset acquisition and disposition transactions including the purchase

of a portfolio of re-performing whole loans with an aggregate unpaid principal balance of $929 million from Bank of America and the purchase of a portfolio of Ginnie Mae early buyout loans with an aggregate unpaid principal balance of $1425 million from PennyMac Financial Services Inc

o debt financings repurchase agreements and securitization transactions including new

note issuances and amendments under HLSSrsquo $56 billion servicer advance receivable facility

o corporate governance board and committee proceedings and public company reporting

all in accordance with SEC NASDAQ Dodd-Frank and Sarbanes-Oxley requirements

o litigation management and resolution including in relation to class action and derivative

claims

o the formulation and monitoring of compliance procedures and legal policies

o the provision of legal services by external counsel in accordance with strict budgetary

requirements Ogier Cayman Islands Managing Associate January 2014 Senior Associate 2012-2014 Associate 2007-2012

Primary area of practice was investment funds (hedge funds private equity funds and hybrid funds) and secondary areas of practice included corporate commercial corporate finance and mergers and acquisitions

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

M I C H A E L L U B I N L L B

Investment funds practice included

o the provision of ongoing advice to investment managers (from large institutional asset managers to new start ups) institutional investors seed investors family offices and sovereign wealth funds pursuing the full spectrum of investment strategies

o advising in relation to investment fund structuring regulation restructuring liquidity

management investor relations and associated corporate transactions

Primary client contact for several global private investment firms including several firms with over $10 billion in assets under management

Corporate practice included advising the Cayman Islands subsidiaries of multinational corporations

Bell Canada Toronto Ontario Legal Counsel 2005 ndash 2007

Negotiated and drafted sophisticated commercial agreements including various telecommunications services and outsourcing agreements with large public companies

Advised Bell Canada executives on revenue generating and procurement transactions

Legal advisor for Bell Canadarsquos small and medium business market division Davies Ward Phillips amp Vineberg LLP Toronto Ontario Associate 2003 ndash 2005 Articling Student 2002 ndash 2003 Summer Student Summer 2001

Broad experience gained in the securities corporate commercial corporate finance and environmental practice areas

Acted for clients on public and private mergers and acquisitions public and private financings and general corporate and commercial matters

Drafted and assisted in the preparation of various transactional agreements public disclosure documents and legal advice memoranda

Advised on environmental issues in corporate transactions and ongoing environmental regulatory compliance

E D U C A T I O N

Bachelor of Laws ndash University of Manitoba Winnipeg Manitoba

1999 ndash 2002

Distinctions o Abraham L Simkin Prize for highest standing in Corporate Law and

Policy (2002) o Archie Micay QC Prize for highest standing in Business

Organizations (2001) o DA Thompson Prize for highest standing in Torts (2000) o Archie Micay QC Prize for third highest standing in first year law

(2000)

Bachelor of Arts (English major) ndash Bishops University Lennoxville Quebec 1994 ndash 1998

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

M I C H A E L L U B I N L L B

Distinctions o Scholarship exchange - one year Rhodes University Grahamstown

South Africa o Bishoprsquos University Deanrsquos List

R E F E R E N C E S A V A I L A B L E U P O N R E Q U E S T

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 10

Candidate Richard T Maparura

Profession Portfolio Manager

Employer Butterfield Bank

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Richard T Maparura

CA CFA

1

Personal

information

Gender Male

Date of Birth 30 June 1983

Personal

summary

Highly motivated dynamic financially savvy individual with over 10 years working experience in the financial services industry traversing in senior roles from audit accounting amp finance and capital markets My strengths lie in excellent technical abilities and attention to details reinforced by continued professional development strong team work and leadership skills along with my pre-emptive approach in handling assignments and responsibilities

Relevant

skills amp

capabilities

An exceptional standard of quality including accuracy attention to detail organisation and self-review skills thoughtful analysis and problem-solving capabilities

A strong banking exposure in trading and treasury management coupled with a comprehensive understanding of the capital markets and the various asset classes ndash investment analysis and asset valuations

Effective verbal communication and presentation skills with a strong ability to build relationships across multiple levels work well in team environments and independently to deliver value

Strong staff and project management skills and ability to interact with external service providers at senior management level

Advanced computer skills with an in depth knowledge of Bloomberg Microsoft office tools and vast computer software applications (Axys FoxPro Caseware Ullink Globus (T24) TSOX ESMX Market Axess Vector and E-Audit)

Strategic management across multiple business locations and industries

High quality reporting including communication with executive management and external stakeholders with attention to detail and time sensitivity for key deliverables

Excellent technical ability under IFRS and US GAAP and auditing under ISA and US GAAS

Employment

experience

Butterfield Bank (Cayman Islands) (Dec 2018 ndash Current)

Asset Management ndash Portfolio Manager

Managing a book of high net worth clients by understanding their financial needs their risk

tolerance and investment time horizon and by creating an appropriate investment policy statement

Structuring optimising and managing client portfolios by matching clientsrsquo investment mandates to the appropriate investment offering consistent with Group investment policy

Implementing asset allocation as decided by the Group Investment Committee

Constructing portfolios by selecting stocks bonds andor third party funds based on the Grouprsquos recommend lists

Creating and delivering proposals and presentations for clients or potential clients

Participating in and contributing to the Grouprsquos investment process

Providing technical analytical and administrative expertise to the department

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Richard T Maparura

CA CFA

2

Employment

experience

EFG Bank (Cayman Islands) (June 2015 ndash Current)

Trading and Treasury - Senior Trader

Multi-asset class trader responsible for executing global market facing orders across a range of asset classes including traditional investments (equities and bonds) plain and exotic derivatives (equity and foreign currency) vanilla foreign currencies and structured products

Developing and maintaining strong relationships with external counterparties and vendors

Responsible for manning the trading desk and administering treasury with over USD 4 billion AUM as Senior Trader

Interacting with Client Relationship Officers (CROs) executing trades on their behalf and advising on the various capital markets financial instruments their measurement relevance and applicability thereof

Contributing insight and literature affecting the US and Canadian markets for equities and bonds and the global markets for foreign currency trades and structured products

Managing the day to day treasury of the bank hedging and bank exposure management

EFG Investment Services (Cayman Islands) (July 2012 ndash May 2015)

Hedge Fund Professional ndash Senior Fund Accountant

Country Head for Cayman Islands administration services responsible for the day to day management of the locally registered funds (over 8 entities)

Computation of monthly Net Assets Value (NAV) and preparation of the monthly NAV packs for the Investment Manager approval

Preparation of the Annual Financial Statements for the Administration group for both Cayman Islands and USA based funds (over 25 entities)

Liaison of the Fund Administration group for both Cayman Islands and the USA based funds with external auditors handling the financial statements audits

The various Funds included among others segregated portfolio funds brokerage accounts funds private equity funds and proprietary and product funds

KPMG Zimbabwe and Cayman Islands (October 2007 ndash June 2012)

Accounting and Auditing - Supervising Senior

Audit team leader on various annual financial statements audits for Hedge Funds Banking and Finance Telecommunications and Airline services

Preparing audit deliverables including communications with senior management through various audit reports and in person conversation

Reviewing and recommending to senior management on internal control deficiencies and improvements thereon

Budgeting and billing of audit clients budget control and audit fee liaison and or negotiator

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Richard T Maparura

CA CFA

3

Education amp

Qualifications

Chartered Financial Analyst (CFA)

Institute of Chartered Financial Analyst (ICFA) ndash 2016

Chartered Accountant (CA (Z))

Institute of Chartered Accountants Zimbabwe (ICAZ) ndash 2010

Bachelor of Accounting Science Honours Degree

University of South Africa (UNISA) ndash 2008

Diploma in Banking

Institute of Bankers of Zimbabwe (IOBZ) - 2008

Bachelor of Commerce Honours Degree in Accounting

National University of Science and Technology (NUST) ndash 2007

Referees Patricia Castro

Head of Fund Services (USA amp Cayman Islands)

EFG Investments Services (Cayman)

Hellen Chemeli

Audit Director

Alternative Investments amp Hedge Funds

KPMG Cayman Islands

Themba Mudidi

Audit Partner

Banking and Finance Department

KPMG Zimbabwe

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 11

Candidate Blair Miller

Profession Fund Manager

Employer SGGG Fund Services (Cayman) Inc

Representing Client interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

BLAIR MILLER

EDUCATION

CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION AMHERST MASSACHUSETTS

CAIA 2006

THE CANADIAN SECURITIES INSTITUTE TORONTO ONTARIO

CIM 2001

THE CANADIAN SECURITIES INSTITUTE Toronto Ontario

The Canadian Securities Course 1998

WESTERN UNIVERSITY London Ontario

Bachelor of Business Administration 1997

TRINITY COLLEGE SCHOOL Port Hope Ontario

Ontario Secondary School Diploma (OSSD) 1992

EMPLOYMENT

SGGG FUND SERVICES (CAYMAN) INC (GRAND CAYMAN CAYMAN ISLANDS) MANAGER JUNE 2017 ndash PRESENT

bull Assist and support the Managing Director in ensuring the effective operation and performance of the

business

bull Responsibilities include but are not limited to reviewing and approving NAV files agreements constitutive

documents wire transfers minutes and resolutions financial statements and bank account openings

bull Drafting of client agreements board reports AML officer reports and presentation of same at fund board

meetings

bull Accept appointment as AMLCO MLRO or DMLRO for client funds

bull Assist with designing implementing and overseeing internal controls and operating procedures

bull Assemble and review KYC client acceptance packages and assist the Managing Director in ensuring that all

regulatory and compliance requirements are met

bull Act as a support and resource for RTA administrators

THE HARBOUR TRUST CO LTD (GRAND CAYMAN CAYMAN ISLANDS) MANAGER OCTOBER 2014 ndash MAY 2017

bull Responsible for liaising with attorneys investment managers brokers and other financial service providers

globally to support fund Directors in performing their duties

bull Responsible for reviewing agreements constitutive documents minutes resolutions and financial statements

on behalf of fund Directors

bull Assisted with designing implementing and overseeing internal controls and operating procedures

bull Assembled and reviewed KYC client acceptance packages and assisted senior management in ensuring that

all regulatory and compliance requirements are met

bull Acted as a support and resource for client administrators

DMS OFFSHORE INVESTMENT SERVICES LTD (GRAND CAYMAN CAYMAN ISLANDS) ASSOCIATE DIRECTOR SEPTEMBER 2007 ndash APRIL 2014

bull Serveed as an independent director on the boards of investment management companies (primarily) and

hedge funds

bull Responsible for cultivating enhancing and maintaining client relationships

bull Responsible for reviewing agreements constitutive documents minutes and resolutions on behalf of other

independent directors particularly with respect to investment management companies

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

bull Responsible for the review approval andor forwarding of trade recommendations on behalf of Investment

Advisors

bull Reviewed and approved net asset value files on behalf of investment management companies

bull Independent assessment of security values when securities were rebalanced between portfolios

bull Appraised client activity to detect opportunities to promote additional services

bull Reviewed KYC client acceptance packages and assisted clients with compliance and regulatory

undertakings such as SIBL applications and FATCA FRO appointments and registrations

bull Supervised and acted as a resource for 1-3 client administrators

UBS GLOBAL ASSET MANAGEMENT ndash HEDGE FUND SERVICES (TORONTO CANADA) ACCOUNT MANAGER MARCH 2007 ndash AUGUST 2007

bull Responsible for maintaining the accounting records of and calculating NAVs for a portfolio of investment

funds

bull Correspond with external fund managers and custodians

bull Reconcile portfolios and cash balances

bull Price financial instruments and report corporate actions

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

HARMONIC FUND SERVICES (GRAND CAYMAN CAYMAN ISLANDS amp TORONTO CANADA) PORTFOLIO OPERATIONS ANALYST FUND ACCOUNTANT SEPTEMBER 2006 ndash MARCH 2007

bull Responsible for maintaining the accounting records of and calculating NAV for a fund of funds portfolio

containing over 400 underlying positions

bull Produce forward looking estimates and calculations for the purposes of hedging foreign currency exposures

and executing currency forward trades routinely in excess of $250 million

bull Verify the proper processing of fund subscriptions redemptions transfers and shareholder registry upkeep

bull Prepare audit working papers and respond to questions from external auditors

CALEDONIAN FUND SERVICES (CAYMAN) LIMITED (GRAND CAYMAN CAYMAN ISLANDS) FUND ACCOUNTANT JULY 2005 ndash AUGUST 2006

MD MANAGEMENT LIMITED (OTTAWA CANADA) INVESTMENT FUNDS ACCOUNTANT MARCH 2004 ndash JUNE 2005

MD MANAGEMENT LIMITED (OTTAWA CANADA) SENIOR TRADECENTRE REPRESENTATIVE OCTOBER 1999 ndash MARCH 2004

MD MANAGEMENT LIMITED (OTTAWA CANADA) MUTUAL FUND ADMINISTRATOR 1998 ndash 1999

SKILLS

bull Excellent computer skills including sound knowledge of Advent Geneva Time Matters Bloomberg

Starquote PAM ISMOSS and Corfax trading systems ATON Microsoft Office internet applications

CRM systems and Email

bull Excellent interpersonal and communication skills

bull Strong analytical and problem solving techniques

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 12

Candidate Brian Morain

Profession Cash and Funds Flow Manager

Employer Cayman Islands Government

Representing Client Interests

Located Grand Cayman Cayman Islands

Assets held with Interactive Brokers account holder

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Brian Morain CFA CPA FCCA

Objective

To contribute in a team environment by being efficient and effective thereby enabling the entity to achieve and

maintain its competitive advantage To use my all-round comprehensive accounting auditing and financial skills

attention to detail coupled with my technical abilities to meet and exceed the entityrsquos objectives To work smarter

not harder whilst constantly adding value

Professional Experience

Sep 2016-Present Cash and Funds Flow Manager (Ag) ndash Treasury Department Cayman Islands Government

Responsibility to ensure accurate and timely processing of payments for the entire Cayman Islands Government

inclusive of cheques wires drafts and related- party transactions

Reviewed developed and implemented systems for cash management (30M) debt management (600M) and

investment management (650M)

Managed short term cash flows and future forecasts covering 100+ bank accounts

Developed and implemented strategies for reducing bank fees and charges increasing interest income

reducing debt expenses and reducing the number of bank accounts across Government entities

Managed developed and trained team members for the use of developed management systems

Sep 2005-Aug 2016 Deputy Director Budget and Management Unit Cayman Islands Government

Budgeting and financial planning including Annual Plan and Estimates Annual Budget Statements and 3-year

Strategic Policy Statement Operating budget approx 600-650M pa capital budget approx 50-300M pa

Preparation of past and current Consolidated Financial Statements for Core Government and the Entire Public

Sector involving all government ministries government companies inclusive of inter-company eliminations

Coordination with Treasury Audit Office and other Ministries and Portfolios to arrive at agreement and

consistencies to provide accurate and timely reports

Reviewing and recommending changes to all financial statements submitted to Budget amp Management Unit

(BMU) inclusive of Ministries Portfolios and Statutory Authorities

Development of financial models to assess risk of non-compliance to the Principles of Responsible Financial

Management

Aug 2003-Aug 2005 Team Leader Budgeting amp Management Accounting Atlantic LNG of Trinidad

Budgeting financial planning and modeling including rolling 5-year forecasting annual budgeting and

budgetary control of operating and expansion projects Annual budget up to $8 billion USD

Responsibility for management reporting of ALNG group of companies prior to distribution to board members

shareholder companies and executive management

Coordination with the Commercial Planning Technical Services and Operations Departments for strategic

direction of the Atlantic Group of Companies that will be incorporated in the budgeting and management

accounting processes

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Assisting in strategic cash management processes with emphasis on debt payments corporate taxes value

added taxes (VAT) dividends and withholding taxes investments foreign exchange conversion capital and

expansion projects Cash management of up to $300 million USD

Responsibility for timeliness and accuracy to meet performance contracted deadlines ensuring compliance

with all governing agreements and contracts

Coaching and professional developing of team members through coordination with the Human Resources

Department

Continuous Improvement of the budgeting and management accounting processes to take into account

approved changes whether arising from contractual changes stakeholdersrsquo requirements or internal

efficiencies

Preparation of policies procedures and guidelines to reflect changes in accounting policies alignment to

companyrsquos strategy and compliance issues

Development and monitoring of internal controls and policies to prevent irregularities and safeguard the

companyrsquos assets in a multi-train and multi-company environment

Nov 1999-Jul 2003 Corporate Accountant Titan Methanol Company Point Lisas TampT

Financial compliance of all contractual agreements including Common Security and Debt Construction Swap

Methanol Sales and Natural Gas Purchases agreements

Budgeting financial planning and modeling including cash forecasting budgeting and budgetary control

Financial reporting including statutory compliance and management reporting

Implementation of a management accounting system after completion of major project

Administering internal controls including developing policies and procedures for compliance to International

Accounting Standards

Financial accountability and responsibility of accounting transactions of the corporate office and that of the

operator (Process Plant Services Limited)

Dec 1991-May 1999 Assistant Accountant TampT Methanol Company Point Lisas TampT

Financial reporting including statutory compliance and management reporting for a multi-plant facility

Budgeting Financial planning and modeling including forecasting budgeting and budgetary control

Management and investing of local and foreign currencies (USD Yen DM)

Supervision of the team responsible for management reporting budgeting and treasury

Managing the operation of the entire Finance Department in the absence of the Chief Accountant

Professional Education

2002-2006 CFA Institute USA

Completed the Chartered Financial Analyst (CFA) Program

1999 Becker Review Port of Spain TampT

Completed Certified Public Accountant (CPA) examinations

1994-1998 Students Accountancy Center Chaguanas TampT

Completed Association of Chartered Certified Accountants (ACCA) examinations

Membership

Charterholder CFA institute

CFA Society Cayman Islands

Fellow Chartered Certified Accountant - ACCA

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Major Achievements

Treasury Department - Cayman Islands Government

Increased interest income by 95 over budget

Automation of reports and journals for Investment and Loan Management systems

Reduced time in the consolidation of Governmentrsquos 100+ bank accounts by more than 90

Budget amp Management Unit - Cayman Islands Government

Reduced the time for the production of consolidated financial statements and budget reports by up to 80

Ensured more consistency in the accounting for transactions across government by assisting in the development

of accounting policies and procedures

Working with a smaller team whilst increasing efficiency and productivity

Developed in-house budget input templates that were more comprehensive and user-friendly than customized

purchased software

Developed a macro for financial statements consolidation involving 61 separate entities thru 4 stages

Atlantic LNG Company of TampT

Being part of the financial team to successfully implement and complete the management reporting process by

the 10th of the following month

Recommendations for the accounting of complex transactions to the acceptance of various stakeholders

Excellent results of the team involved in strategic cash management

Being part of 99+2 (99 reliability 2 innovation) Interface Management team to assist the organization

achieve its objective

Titan Methanol Company

Development of a financial model used by JPMorgan Chase Manhattan and associated syndicated banks

Recipient of a one-time special bonus for the development of the above model

Being part of the financial team to successfully negotiate additional credit facility of USD 10M

Correctly forecasted cash balances and requirements within 5

Prepared management reports within 5 working days from month end

Trinidad and Tobago Methanol Company

Developed time-reduction procedures for financial Statements preparation including the use of macros

Training subordinate staff to account for complex transactions

Being part of the operating team to commission and start-up the first Methanol plant in Trinidad and Tobago

and undertake a project to increase production by 20

A process-design recommendation that was subsequently implemented with major fuel gas saving

Selected Training

International Treasury Management - Euromoney Financial Training Surrey London Identifying Analyzing and

Measuring Financial Risks

Corporate Financial Modeling - Euromoney Financial Training New York NY Advanced Fundamentals of

Constructing Financial Models

Certified Fraud Control Manager ndash Certified Information Security Preventing detecting and investigating fraud

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Nominee 13

Candidate Karen Orsquo Brien

Profession Compliance Specialist

Employer GCS Advisory

Representing Creditor Interests

Located Grand Cayman Cayman Islands

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Karen A OrsquoBrien CAMS CCS

SUMMARY OF QUALIFICATIONS________________________________________________

bull Results-oriented hands-on professional with a successful record of accomplishments in the AMLcompliance and investigative fields

bull Cross industry compliance regulatory and risk consultant

bull Excellent oral communication and presentation skills

bull Certified Anti-Money Laundering Specialist and Certified Compliance Specialist

PROFESSIONAL EXPERIENCE_________________________________________________ June 2005- GCS Advisory Managing Director present Cayman Islands Founded company for the performance of out-sourced compliance services to the Regulated Financial Sector On a contract basis perform various compliance functions which have included

bull Management and maintenance of internal compliance programs and operational oversight

bull Creation review and maintenance of anti-money laundering procedures systems controls and manuals

bull Complete internal review of customer relationships to measure standards of compliance against regulatory requirements for customer due diligence and record keeping

bull Develop and implementation of client risk matrix

bull Risk monitoring and assessment

bull Project oversight and statistical report compilation

bull Enhanced due diligence troublesome KYC investigation and resolution

bull Designed and developed computer based AML training program for multiple jurisdictions which involved research creation of material and test questions and marketing

bull Designed developed and delivered all level of AML training for various industries

bull Conducted internal fraudfinancial investigations and background research

bull Clients have included corporate service providers fund administrators insurance companies insurance management banks liquidators real estate retail investment business

bull Liaise with external bodies

bull Multi- jurisdiction experience- Cayman Islands Bermuda Turks amp Caicos Belize USA Barbados

2005 Fortis Bank (Cayman) Limited Compliance Cayman Islands Supervisor

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Karen A OrsquoBrien

bull Overall independent charge of compliance and administrators in Share Registration

bull Overseeing staff performance of AMLKYC duties in respect of new fund investors transfers and redemptions

bull Oversight and final approval on incomingoutgoing wire transfers third party payments investor due diligence documentation and dispute resolution

bull Co-coordinated investor identification reviews for active funds take-on funds and the handover of investor identification to new administrators for funds transferring out

bull Internal reviews of investor due diligence and internal control checks in respect to Compliance functions

bull Liaising with investment managers in respect of complaintsproblems

bull Monitoring and developing risk control in relation to anti money launderinganti-terrorist financing procedures for fund investors

2003 ndash 2005 KYCOS Ltd Manager Cayman Islands Compliance

bull Contracted outsource service provider

bull Advised on regulatory issues relating to KYC fraud investigations internal compliance procedures resource development and AML training programs

bull Research and project manager for the development of the Kycos Harvestortrade the companyrsquos highly advanced global due diligence database that helped financial institutions comply with anti-money laundering regulations

2001-2003 Royal Cayman Islands Police Service Detective Grand Cayman Cayman Islands Financial Crime

bull First Canadian police officer seconded from The Toronto Police Service

bull Investigation and prosecution of serious financial crimes

bull Investigated many complex and serious frauds that have included mortgage insurance securities and credit card fraud as well as forged documents and money laundering

bull Conducted investigations in multiple jurisdictions such as United States of America Scotland England and Isle of Man and developed associations with various private and police agencies

bull Routinely prepared large case files and reports for the Legal Department interviewed witnesses and suspects and organized large volumes of documentary evidence

1987-2001 Toronto Police Service Police Officer Toronto Ontario Fraud Squad

bull Resigned holding the rank of Detective (Sergeant) in the Fraud and Forgery Squad

bull Investigation of occurrences gathering of evidence apprehension of suspects case management and preparation for the judicial process

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee

Karen A OrsquoBrien

bull Exposure to all areas or criminal investigation

bull Extensive knowledge of investigative techniques including interviewing of victimswitnesses and suspects seizure and submission of samples for forensic analysis preparation and execution of

bull search warrants preparation and prosecution of cases at all levels of Criminal court rules of evidence and admissibility

bull Testified at all levels of the justice system and I have also prepared and been the officer in charge of a Coronerrsquos Inquest

EDUCATION DATES EDUCATION DEGREEMAJOR 1981-1983 Sheridan College Diploma Brampton Ontario Hotel amp Restaurant Management Graduated with Honours AFFILIATIONS _______________________________________________________STATUS Association of Certified Anti-Money Laundering Specialists (ACAMS) Certified Member International Association Financial Crimes Investigators Member International Association of Certified Compliance Specialists (IACCS) Founder

Certified Compliance Specialist Cayman Islands Compliance Association Executive Committee Member

• Nominees for the ad hoc Committee
• OTX - List of Candidates for the ad hoc Committee