OUR GOVERNANCE AND LICENCES

Positive Mentor is committed to best practice corporate governance with a focus on being innovative, encouraging positive engagement with our clients and stakeholders and fostering a culture and values that ensures it is sustainable.

For us, governance is the framework by which we are directed, managed and held to account. It incorporates our company values, structures and processes for good decision-making, accountability, control and behaviour.

It provides the framework within which:

• the strategies and goals of Positive Mentor are set and agreed;

• our compliance obligations are identified and managed;

• key risks are identified and managed;

• ethical values and behaviours and responsible decision making provide for an ethical workplace.

As part of our commitment to good corporate governance, we have established a Risk and Compliance Committee (R&C Committee). This committee assist Management in performing its role and meeting our strategic goals.

COMPLIANCE AND RISK MANAGEMENT

We view effective compliance risk management as a core part of our governance and our operations. Our Compliance Risk Management Policy outlines our approach and direction in relation to compliance risk management.

We consider it good governance that our compliance risk management policy considers the following issues:

• our strategy;

• the material business risks we face;

• our client and stakeholder expectations; and

• the regulatory framework within which we operate

We consider it good governance that we maintain a culture of compliance, which is adherence to the requirements not only of the law but also industry codes and principles of good governance and ethical standards.

PRE TRADINGS PTY LTD T/A POSITIVE MENTOR

ABN: 65 141 428 471