Jon Bishop

Euroz Hartleys Ltd. is a brokerage firm headquartered in Perth, Australia. Formerly known as Hartleys Ltd., the firm was founded in 1955 and is owned by Euroz Hartleys Group Ltd. (ASX: EZL). Euroz Hartleys offers full-service stockbroking services to institutional, corporate and private clients. They provide investment advice and transaction execution, unique access to deal flow and IPOs and exclusive capital raising and investment opportunities.

UBS Securities Australia Ltd. is a brokerage firm headquartered in Melbourne, Australia. The firm is a wholly-owned subsidiary of UBG AG, which is owned by UBS Group AG (SWX: UBSG) in Switzerland. UBS Securities Australia offers execution and settles trade in ASX quoted financial products for private investors.

Macquarie Securities (Australia) Ltd. (MSAL) is a brokerage firm headquartered in Sydney, Australia. The firm was founded in 1969 and is a subsidiary of Macquarie Corporate International Holdings Pty Ltd., ultimately held by Macquarie Group Ltd. (ASX: MQG) in Australia. MSAL serves as the brokering entity for the Macquarie Group.

Part of Bank of America Corp., Merrill Lynch Equities (Australia) Ltd. is an Australian company that provides brokerage services. The company is based in Sydney, Australia. Joseph Fayyad has been the CEO of the company since 2017.

Morgan Stanley Australia Ltd. is an Australian broker/dealer subsidiary of Morgan Stanley International, Inc., itself owned by Morgan Stanley (NYSE: MS) in the US. Headquartered in Sydney, the firm offers sales, trading and market-making investment management services to global institutions, hedge funds and industry innovators.

Credit Suisse (Australia) Ltd. (Credit Suisse Australia) is a broker/dealer firm headquartered in Sydney, Australia. The firm was founded in 1999 and is a subsidiary of Credit Suisse AG, which is owned by Credit Suisse Group AG (SWX: CSGN) in Switzerland. Credit Suisse Australia offers global securities sales, trading and execution, prime brokerage, underwriting, and comprehensive investment research for corporate and institutional investors.

CLSA Australia Pty Ltd. is a securities brokerage firm headquartered in Sydney, Australia. The firm was founded in 2009 and is a subsidiary of CLSA Ltd., which is owned by CITIC Securities Co., Ltd. (SHA: 600030) in China. CLSA Australia provides equity research and broking, asset management, corporate finance and capital markets and securities services to corporates and investors.

Commonwealth Securities Ltd. (CommSec) is the securities brokerage subsidiary of Commonwealth Bank of Australia (ASX: CBA ). Headquartered in Sydney, CommSec was founded in 1995 and offers a range of brokerage products and services including online trading, cash management, margin lending, and international share trading to retail cliens.

Citigroup Global Markets Australia Pty Ltd. (Citi Australia) is the brokerage arm of Citigroup Global Markets Australia Holdings Pty Ltd., ultimately held by Citigroup, Inc., (NYSE: C) in the US. Headquartered in Sydney with additional office in Melbourne, Citi Australia provides brokerage services to Australian consumers, corporations, institutions and governments. The firm participate in sales and trading across all asset classes including equities, corporate, government and agency bonds, mortgage-backed securities, syndicated loans, structured products, foreign exchange and futures.

JPMorgan Securities Australia Ltd. (JPMorgan Australia) is a broker/dealer subsidiary of JPMorgan Markets Australia (Pty) Ltd., ultimately held by JPMorgan Chase & Co. (NYSE: JPM) in the US. Headquartered in Sydney, JPMorgan Australia provides brokerage services for investors which they can use in making portfolio decisions.

Wyllie Group Pty Ltd. identifies and creates investments that lead to progress and prosperity for all. The private company is based in Perth, Australia. The Australian company's focus is on allocating smart money to things that matter.

Schroder Investment Management Australia Ltd. (SIMAL) is the wholly-owned Australian investment management subsidiary of Schroder Australia Holdings Pty Ltd., ultimately held by Schroders Plc (LON: SDR, ADR: SHNWY) in Great Britain. The firm was founded in 1961 and is headquartered in Sydney. SIMAL manages assets for institutional and wholesale clients across Australian equities, fixed income and multi-asset and global equities.

Merrill Lynch International (MLI-UK) is a brokerage firm headquartered in London, UK. The firm was founded in 1988 and is a subsidiary of ML UK Capital Holdings Ltd., ultimately owned by Bank of America Corp. (NYSE: BAC) in the US. MLI-UK provides brokerage services to individual and retail clients.

Euroz Hartleys provides financial services.

Stockbrokers & Financial Advisers Association (SAFAA) is an organization that provides education and training to individuals in the financial industry. The non-profit company is based in Sydney, Australia. The Australian company has partnered with Accurium, a leading education provider in the SMSF space, to offer a superannuation course that covers specialist knowledge required for those looking to enter the industry. Additionally, SAFAA offers a fundamentals of securities course that focuses on providing candidates with the specialist knowledge necessary to understand the concepts of securities as they apply to retail general advice clients.

Part of Euroz Hartleys Group Ltd., Dalton Street Capital Pty Ltd. is a systematic investment manager that uses evidence-backed behavioral-based strategies. The company is based in Sydney, Australia. The Australian company partner with Mantis Funds for operations and client services support, and investors in the Watermark Market Neutral Trust can contact Damien Hatfield for inquiries. Dalton Street Capital offers an Absolute Return Fund and a Market Neutral Trust for investment, and clients can subscribe to receive monthly performance reports and articles.

Prodigy Investment Partners Ltd. is a private company headquartered in Melbourne, Australia, with subsidiaries in that country, that provides investment services.

Australian Securities & Investments Commission operates as an independent commonwealth government body that enforces company and financial services laws to protect consumers, investors and creditors. Its strategic priorities include promoting investor and financial consumer trust and confidence; ensuring fair, orderly and transparent markets and; providing efficient and accessible registration. The firm regulates Australian companies, financial markets, financial services organizations and professionals who deal and advise in investments, superannuation, insurance, deposit taking and credit. It licenses and regulates people and businesses engaging in consumer credit activities. The company assesses how effectively authorized financial markets are complying with their legal obligations to operate fair, orderly and transparent markets. It also licenses and monitors financial services businesses to ensure that they operate efficiently, honestly and fairly in superannuation, managed funds, shares and company securities, derivatives and insurance businesses. The firm operates through its offices located in Adelaide, Brisbane, Canberra, Darwin, Hobart, Melbourne, Perth and Sydney. Australian Securities & Investments Commission was founded in 1991 and is headquartered in Sydney, Australia.

Shaw & Partners Ltd. (S&P) is the broker subsidiary of EFG International AG (SWX: EFGN) in Switzerland. The firm is headquartered in Sydney, New South Wales and was founded in 1987. S&P provides research and investment strategies to their clients. The firm specializes in emerging and mid-cap companies.

Morningstar Australasia Pty Ltd. is the Australian investment research subsidiary of Morningstar Direct Investments Pty Ltd., ultimately held by Morningstar, Inc. (NASDAQ: MORN) in the US. Headquartered in Barangaroo, the firm was founded in 1999 as Huntley’s Investment Information Pty Ltd. They provide research on Australian stocks, managed funds, superannuation funds, credit securities, exchange-traded funds, and listed investment companies for individual investors, financial advisers, asset managers, and retirement plan providers and sponsors.

The Stockbrokers Association of Australia operates as a stock brokers association. The non-profit company is based in Sydney, Australia. Andrew Green has been the CEO of the Australian company since 2015.

Wilsons Corporate Finance Ltd. (WCP) is the broker subsidiary of Wilsons Holding Co. (Pty) Ltd. The firm is headquartered in Brisbane, Queensland. WCP provides research and institutional sales services. They have a focus on emerging companies and mid-cap.

First Sentier Investors (Australia) IM Ltd. (FSIAIM) is the wholly-owned Australian asset management subsidiary of First Sentier Investors Holdings Pty Ltd., ultimately held by Mitsubishi UFJ Financial Group, Inc. (MUFG) (TYO: 8306) in Japan. The firm was founded as Colonial First State Asset Management (Australia) Ltd. (CFSAMA) in 2005 as a separate business from the retail product distribution services offered by Colonial First State Investments. Headquartered in Barangaroo, FSIAIM provides investment, superannuation and retirement products to individuals as well as corporate and superannuation fund investors. Their clients are institutional investors and accredited investors.

CCZ Equities Australia Pty Ltd. (CCZ) is an independent stockbroking firm headquartered in Sydney, Australia. The firm was founded by David Hofman as CCZ Statton Equities Pty Ltd. in 2004 following the amalgamation of CCZ Equities institutional stockbroking with Statton Securities private client broking. CCZ provides equities and wealth generation services to private clients and institutional investors. The firm covers a broad spread of sector and size research coverage with a strong track record in small to mid-cap industrial equity capital markets and corporate finance.

Melior Investment Management Pty Ltd. is an impact investment manager based in Sydney, Australia. The Australian company is committed to driving positive change and offers the Melior n Impact Fund to help clients use their financial power to build a better future. The CEO of the private company is Lucy Steed.

Investors Mutual Ltd. (IML) is a boutique Australian Equities Fund Manager which was founded by Anton Tagliaferro in 1998. Since 2017, the firm is a subsidiary of Natixis Investment Managers SA, ultimately held by BPCE SA in Paris. Headquartered in Sydney, IML offers various Australian Equity funds for individual and institutional clients. The firm is a responsible investor and signatory to the UN Principles for Responsible Investment (PRI).

L1 Capital Pty Ltd. is an independent investment advisor which was founded by Raphael Lamm and Mark Landau in 2007. Headquartered in Melbourne with additional offices in Sydney, New York and London, the firm manages money for a range of clients including large superannuation funds, endowment funds, financial planning groups, asset consultants, family offices, high net-worth individuals and retail investors. L1 Capital is a signatory of the UN Principles for Responsible Investment (UN PRI) and committed to incorporating environmental, social and corporate governance issues into their investment analysis and decision-making processes.

Contrarius Investment Advisory Ltd. (CIAL) is an independent Great Britain-based asset management firm which was founded by Stephen Mildenhall in 2008. Headquartered in London, CIAL provides investment advisory services to private and institutional clients.

Goldman Sachs Australia Pty Ltd. is the Australian securities brokerage subsidiary of Goldman Sachs Holdings ANZ Pty Ltd., ultimately held by The Goldman Sachs Group, Inc. (NYSE: GS) in the US. Headquartered in Perth, Goldman Sachs Australia provides service to institutional clients who manage large portfolios of Australian and New Zealand equities. They work with the financial instruments used to trade debt, currency and commodities. Their clients include corporations, financial institutions, governments and high-net-worth individuals throughout Australasia.

Chartered Accountants Australia & New Zealand is an association for chartered accountants that provides accounting services. The non-profit company is based in Auckland, New Zealand.

Australian Institute of Geoscientists is a nonprofit company headquartered in Perth, Australia. The firm operates as an institute which represents geoscientists.

Part of Beaufort International Associates Plc, Beaufort Securities Ltd. is a British company that provides brokerage services. The company is based in St. Mary Axe, UK. Tanvier Mohsin Malik has been the CEO of the company since 2012.

Morgan Stanley & Co. International Plc (MSCI) is a brokerage firm headquartered in London, UK. The firm was founded in 1986 and is a subsidiary of Morgan Stanley Investments (UK), ultimately held by Morgan Stanley (NYSE: MS) in the US. MSCI provides a range of brokerage services to corporations, governments and financial institutions.

Morgan Stanley & Co. LLC is a registered broker-dealer subsidiary of Morgan Stanley Domestic Holdings, Inc., ultimately owned by Morgan Stanley (NYSE: MS) in the US. Headquartered in New York City, the firm was founded in 1987 and provides debt and equity services including underwriting, M&A advice, securities dealing and brokerage and trade execution. Their client base ranges from large global institutional investors to hedge funds at the cutting edge of innovation in the industry.