Philip York,

Chief Executive Officer of the Empyreal Investments Group.

Kurt William Groeneveld,

Tro director 15.11.2005 to 24.04.2007. PPB 439A Report 08.04.10

Dr Peter Blood

The AIMA Questionnaire also noted that Dr Peter Beresford Blood was a quantitative analyst engaged by AAM from April 2009 and a “Specialist Derivatives Consultant” of the investment team of AAM. According to Dr Blood he was never employed or engaged by AAM as a consultant for any advice or services. SourceLiu v ASIC [October 31st 2014] AATA 817 before Ms J L Redfern, Senior Member

Richard Telfer,

Certified Practising Accountant. February 2006 he joined AFM and Trio Capital as its Chief Financial Officer. He was appointed a director of AFM on 24 April 2007. He was a member of Trio Capital’s Investment Committee from April 2006.

SourceLiu v ASIC [October 31st 2014] AATA 817 before Ms J L Redfern, Senior Member

Note, No photographs of the following people were available.

Lorenzo Macolino,

Trio director 05.11.2003 to 17.12.2004. PPB 439A Report 08.04.10


Terrence Hallinan,

non-executive director of Trio from November 5th 2003 to December 17th 2004. PPB 439A Report 08.04.10


David O'Bryen,

Trio director 27.06.2007 to 17.12.2009. PPB 439A Report 08.04.10


Keith Rex Finkelde,

Trio director 24.04.2007 to 17.12.2009. PPB 439A Report 08.04.10


David Ronald Andrews,

Trio director 13.07.2006 till 2009 Trio end. PPB 439A Report 08.04.10


Cameron Patrick Anderson,

Trio director 05.11.2003 to 15.11.2005. PPB 439A Report 08.04.10


Michael, James Anderson,

a director of the Silverhall asset management and property group - which was rebranded as Ualan 03.08.2005 - 12.10.2005. PPB 439A Report 08.04.10

Silverhall is jointly owned by Cameron Anderson, his unrelated business partner Michael Anderson.


Dr Peter Smith,

Senior Asset Consultant and funds manager with Absolute Alpha Funds Management Ltd.


John Alan Godfrey,

non-executive director of Trio from February 2005 until June 2007 and chairman of the board from June 2005 to February 2007.


Mark Schroeder,

Chief Executive of the forerunner of Trio Capital in 2005.


John Gerard Owen Harte,

Trio director 16.01.2006 to 31.05.2008. PPB 439A Report 08.04.10

Harte was a non-executive director of Trio and the chair of Trio’s Investment Committee from January 2006 to May 2008.


Natasha Beck,

Non-executive director of Trio Capital Limited

Member of the Investment Committee of Trio Capital Limited 4 July 2011


Ms Florrisa Villavert,

Over 15 years experience as a technical and compliance professional in the financial services industry, held technical and compliance roles, including, Assistant Director of Compliance with Insurance and Superannuation Commission, the Government Regulator for the superannuation industry.

Next page 4. Trio Regulators