Design and Distribution Obligations: Distributor reporting requirements as set out in the Target Market Determinations (TMDs) for the Pengana Funds
Reporting requirement
Reporting period
Which distributors this requirement applies to
Reporting requirement
Complaints (as defined in section 994A(1) of the Act)Â relating to the product design, product availability and distribution. The distributor should provide all the content of the complaint, having regard to privacy.
Reporting period
Within 10 business days following end of calendar quarter.
Which distributors this requirement applies to
All distributors
Reporting requirement
Significant dealing outside of target market, under s994F(6) of the Act.
See Definitions for further detail.
Reporting period
As soon as practicable but no later than 10 business days after distributor becomes aware of the significant dealing.
Which distributors this requirement applies to
All distributors
Reporting requirement
To the extent a distributor is aware, dealings outside the target market, including reason why acquisition is outside of target market, and whether acquisition occurred under personal advice.
Reporting period
Within 10 business days following end of calendar quarter.
Which distributors this requirement applies to
All distributors
If practicable, distributors should adopt the FSC data standards for reports to Pengana Capital Limited.
Distributors must report to Pengana Capital Limited through IRESS BC Gateways or using the IRESS BC Gateways chatbot which can be accessed using the blue box at the bottom right of this screen.
Contact details for Pengana Capital Limited in respect of the TMDs are as follows:
- Email: Operations@pengana.com
- Telephone: 02 8524 9900