Maple-Brown Abbott : AML & CTF Policy

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AML & CTF Policy

Anti-Money Laundering & Counter-Terrorism Financing (AML/CTF) Policy

Federal laws require the Company, as Responsible Entity of our managed investment schemes and as Investment Manager of portfolios for discrete clients, to collect and verify certain client details pursuant to the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 and the Anti-Money Laundering and Counter-Terrorism Financing Rules.

We need to obtain information and documentation verifying a client’s identity when the client first applies to invest and may need to do so when undertaking transactions in relation to an investment, including collecting identification information and documentation from the investor or anyone acting on behalf of the investor. Any suspicious matters must be reported to the Australian Transaction Reports and Analysis Centre (AUSTRAC).

Investors in the managed investment schemes must complete the Application Form available at maple-brownabbott.com.au/forms which specifies in the Unitholder Verification Checklist the relevant documentation which must accompany an application. Discrete clients are asked to provide the relevant information and documentation prior to the commencement of our management of their portfolio. If we do not receive the required information or we are unable to verify an investor’s identity, we may not be able to proceed with the investment or a transaction in relation to the investment.

An AML/CTF Program is maintained by the Company. This Program deals with matters relating to management of AML/CTF obligations, including:

the identification and assessment of ML/TF risks,

transactions monitoring,

enhanced customer due diligence,

a risk awareness training program, and

the applicable customer identification procedures.

Anti-Money Laundering Officer
The Anti-Money Laundering Officer (“AMLO”) for the Company is the Head of Operations. In the absence of the Head of Operations, the Manager, Investment Operations and Accounting will act as AMLO. If you have a question or concern about an AML/CTF matter, please contact the Head of Operations on (02) 8226 6200.

Contact details
Please address all enquiries to:

Mr Simon Beram
Head of Business Development and Client Services
Maple-Brown Abbott Limited
Level 31
259 George Street
Sydney NSW 2000
Australia

Phone: (02) 8226 6200
Fax: (02) 8226 6201
Email: invest@maple-brownabbott.com.au