Macquarie Investment Management Global Limited

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
36368
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
MACQUARIE CAPITAL (USA)
INC.
(For individuals, Last, First,
Middle)
CRD
Number:
163553
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
MACQUARIE FUNDS
MANAGEMENT HONG KONG
LIMITED
(For individuals, Last, First,

Middle)
CRD
Number:
14232
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
DELAWARE DISTRIBUTORS,
L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
130352
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
MACQUARIE CAPITAL
INVESTMENT MANAGEMENT
LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
DELAWARE MANAGEMENT
BUSINESS TRUST
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
DELAWARE INVESTMENT FUND
ADVISERS
(For individuals, Last, First,
Middle)
CRD
Number:
127077
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
FOUR CORNERS CAPITAL
MANAGEMENT, LLC
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
U.S. SECURITIES & EXCHANGE COMMISSION

2.
Principal Sanction:
Cease and Desist
Other Sanctions: 
CIVIL AND ADMINISTRATIVE PENALTY(IES)/FINE(S)
3.
Date Initiated (MM/DD/YYYY): 
07/07/2015
 Exact
 Explanation
If not exact, provide explanation:
N/A
4.
Docket/Case Number:
3-16676
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
N/A
6.
Principal Product Type:
Other
Other Product Types: 
N/A
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON THE BASIS OF THE ORDER AND OFFERS OF SETTLEMENT BY THE AFFILIATES THE COMMISSION FOUND THAT: 1) THE AFFILIATES SERVED OR ACTED
AS AN INVESTMENT ADVISER TO REGISTERED INVESTMENT COMPANIES ("FUND SERVICE ACTIVITIES") AS OF APRIL 1, 2015 AND, NOTWITHSTANDING
THE ENTRY OF AN INJUNCTION AGAINST AN AFFILIATE (MCUSA) ON THAT DATE, CONTINUED TO ENGAGE IN FUND SERVICE ACTIVITIES AFTER APRIL 1,
2015; 2) AS A RESULT OF THE ENTRY OF THE INJUNCTION AGAINST THE AFFILIATE, SECTIONS 9(A)(2) AND 9(A)(3) OF THE INVESTMENT COMPANY ACT
TOGETHER ALSO PROHIBITED THE AFFILIATES FROM ENGAGING IN FUND SERVICE ACTIVITIES AS OF APRIL 1, 2015; 3) THE AFFILIATES DID NOT
CONTACT THE COMMISSION STAFF TO BEING THE PROCESS OF OBTAINING EXEMPTIVE RELIEF UNTIL APRIL 7, 2015; AND 4) AS A RESULT OF THE
CONDUCT DESCRIBED ABOVE, EACH OF THE AFFILIATES VIOLATED SECTION 9(A) OF THE INVESTMENT COMPANY ACT.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
N/A
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Order
11. Resolution Date (MM/DD/YYYY):
07/07/2015
 Exact
 Explanation
If not exact, provide explanation:
N/A
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 20,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
N/A
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
N/A
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IN JULY 2015, THE AFFILIATES ENTERED INTO A SETTLEMENT OF AN ADMINISTRATIVE PROCEEDING WITH THE US SEC. THE AFFILIATES ARE EACH A
SERIES OF THE REGISTRANT THAT ADVISE OR SUB-ADVISE REGISTERED INVESTMENT COMPANIES ("FUND SERVICE ACTIVITIES"). THE US SEC'S ORDER

FOUND THAT THE AFFILIATES VIOLATED SECTION 9(A) OF THE INVESTMENT COMPANY ACT DUE TO ENGAGING IN FUND SERVICE ACTIVITIES FROM
APRIL 1, 2015 THROUGH MAY 15, 2015 WITHOUT EXEMPTIVE RELIEF. DUE TO AN INJUNCTION AGAINST AN AFFILIATE ON APRIL 1, 2015, THE
AFFILIATES REQUIRED EXEMPTIVE RELIEF UNDER SECTION 9 OF THE INVESTMENT COMPANY ACT TO CONTINUE TO BE ELIGIBLE TO PROVIDE FUND
SERVICE ACTIVITIES AFTER APRIL 1, 2015. ON MAY 15, 2015, THE US SEC STAFF, ACTING UNDER DELEGATED AUTHORITY FROM THE US SEC, GRANTED
TEMPORARY EXEMPTIVE RELIEF FROM SECTION 9(A) OF THE INVESTMENT COMPANY ACT WITH RESPECT TO THE INJUNCTION. ON AUGUST 3, 2015, THE
SEC GRANTED TO MIMGL PERMANENT EXEMPTIVE RELIEF FROM THE PROVISIONS OF SECTION 9(A) INDICATING THAT THE SEC HAS DETERMINED THAT
MIMGL HAS MET THE STANDARD FOR RECEIVING EXEMPTIVE RELIEF. WITHOUT ADMITTING OR DENYING THE VALIDITY OF THE US SEC'S FINDINGS, THE
AFFILIATES EACH AGREED TO PAY A PENALTY OF $20,000.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
139345
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
MACQUARIE FUNDS
MANAGEMENT
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II

1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
DECLARATIONS OF CONTRAVENTION OF AUSTRALIAN CORPORATIONS ACT, ORDER FOR MIML TO PAY ASIC'S COSTS IN AN AGREED AMOUNT.
3.
Date Initiated (MM/DD/YYYY): 
06/22/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Unit Investment Trust(s)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ASIC AND MIML HAVE AGREED THAT MIML BREACHED THE AUSTRALIAN CORPORATIONS ACT IN CONNECTION WITH ITS ROLE AS RESPONSIBLE ENTITY
OF THE VAN EYK BLUEPRINT INTERNATIONAL SHARES FUND (A REGULATED FUND UNDER THE ACT) (VBI) BY FAILING TO EXERCISE SUFFICIENT CARE
AND DILIGENCE IN RELATION TO VAN EYK'S DECISION TO INVEST VBI IN A CAYMAN FUND CALLED ARTEFACT, THE ONGOING MONITORING OF VAN EYK
IN RELATION TO THE ARTEFACT INVESTMENT, AND VBI'S LIQUIDITY. VAN EYK WAS INVESTMENT MANAGER OF VBI.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision & Order of Offer of Settlement
11. Resolution Date (MM/DD/YYYY):
08/26/2016
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 600,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
NONE
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
NONE
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
MACQUARIE INVESTMENT MANAGEMENT LIMITED (MIML) AND ASIC HAVE FILED JOINT COURT SUBMISSIONS RELATING TO AN AGREED SETTLEMENT
OVER MIML'S ROLE AS RESPONSIBLE ENTITY OF ONE OF THE VAN EYK BLUEPRINT FUNDS, VAN EYK BLUEPRINT INTERNATIONAL SHARES FUND (VBI). VBI
WAS ONE OF THE BLUEPRINT SERIES OF FUNDS OF WHICH VAN EYK RESEARCH PTY LIMITED (VAN EYK, NOW IN LIQUIDATION) WAS INVESTMENT
MANAGER. THE SETTLEMENT RELATES TO A 2012 DECISION, BY VAN EYK AS MANAGER, FOR VBI TO INVEST IN A FUND MANAGED BY A COMPANY CALLED
ARTEFACT. MIML WAS APPOINTED RESPONSIBLE ENTITY OF THE VAN EYK BLUEPRINT FUNDS IN 2003. ON 1 AUGUST 2014, AFTER MIML LEARNED THAT
ARTEFACT, CONTRARY TO ITS INVESTMENT MANDATE, HAD INVESTED IN AN ILLIQUID INVESTMENT, MIML SUSPENDED APPLICATIONS AND

REDEMPTIONS FROM VBI AND THE THREE DIVERSIFIED VAN EYK BLUEPRINT FUNDS WHICH HAD INVESTED IN VBI. MIML THEN TERMINATED THE
RELEVANT VAN EYK FUNDS, RETURNING TO INVESTORS ALL OF THE LIQUID ASSETS IN THE FUNDS, AND PUT SIGNIFICANT RESOURCES INTO REALISING
THE REMAINING ILLIQUID ASSETS OF THE FUNDS FOR INVESTORS. BY APRIL 2015 MIML HAD ALREADY RETURNED TO INVESTORS APPROXIMATELY 89%
OF FUNDS IN THE VBI FUND, WITH THE BALANCE OF THESE PROCEEDS LAST MONTH BEING RETURNED TO VBI INVESTORS, RESULTING IN A 102.2%
RETURN ON VBI'S UNIT VALUE AT TERMINATION. FOLLOWING THIS SIGNIFICANT RECOVERY ACTION BY MACQUARIE, THE ENTIRE $30 MILLION WHICH
VAN EYK DECIDED THAT VBI INVEST IN ARTEFACT IN 2012 HAS NOW BEEN RETURNED TO INVESTORS. ASIC AND MIML HAVE AGREED IN TODAY'S
SETTLEMENT THAT, AS RESPONSIBLE ENTITY, MIML DID NOT EXERCISE SUFFICIENT CARE AND DILIGENCE IN RELATION TO VAN EYK'S DECISION TO
INVEST IN ARTEFACT, THE ONGOING MONITORING OF VAN EYK IN RELATION TO ARTEFACT, AND VBI'S LIQUIDITY. MIML FURTHER NOTES ASIC'S
ACKNOWLEDGEMENT OF THE EFFORTS MADE BY MIML TO HAVE INVESTORS' FUNDS REPAID. THIS MATTER AROSE WITHIN MIML'S NON-CORE
OUTSOURCED RESPONSIBLE ENTITY BUSINESS WHICH MIML IS NO LONGER PURSUING.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part
1A or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
139345
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
MACQUARIE FUNDS
MANAGEMENT
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.
(1)(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No

NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION (ASIC)
2.
Principal Relief Sought:
Other
Other Relief Sought: 
DECLARATION OF CONTRAVENTION OF AUSTRALIAN CORPORATIONS ACT, ORDER FOR MIML TO PAY ASIC'S COSTS IN AN AGREED AMOUNT.
3.
Filing Date of Court Action (MM/DD/YYYY):
06/22/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Unit Investment Trust(s)
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 
SUPREME COURT OF NSW, AUSTRALIA (NO. 190085 OF 2016)
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
N/A
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
ASIC AND MIML HAVE AGREED THAT MIML BREACHED THE AUSTRALIAN CORPORATIONS ACT IN CONNECTION WITH ITS ROLE AS RESPONSIBLE ENTITY
OF THE VAN EYK BLUEPRINT INTERNATIONAL SHARES FUND (A REGULATED FUND UNDER THE ACT) (VBI) BY FAILING TO EXERCISE SUFFICIENT CARE
AND DILIGENCE IN RELATION TO VAN EYK'S DECISION TO INVEST VBI IN A CAYMAN FUND CALLED ARTEFACT, THE ONGOING MONITORING OF VAN EYK
IN RELATION TO THE ARTEFACT INVESTMENT, AND VBI'S LIQUIDITY. VAN EYK WAS INVESTMENT MANAGER OF VBI.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Judgment Rendered
12. Resolution Date (MM/DD/YYYY): 
08/26/2016
 Exact
 Explanation
If not exact, provide explanation:
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $ 600,000.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
NONE
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
NONE

14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must
fit within the space provided). 
MACQUARIE INVESTMENT MANAGEMENT LIMITED (MIML) AND ASIC HAVE FILED JOINT COURT SUBMISSIONS RELATING TO AN AGREED SETTLEMENT
OVER MIML'S ROLE AS RESPONSIBLE ENTITY OF ONE OF THE VAN EYK BLUEPRINT FUNDS, VAN EYK BLUEPRINT INTERNATIONAL SHARES FUND (VBI). VBI
WAS ONE OF THE BLUEPRINT SERIES OF FUNDS OF WHICH VAN EYK RESEARCH PTY LIMITED (VAN EYK, NOW IN LIQUIDATION) WAS INVESTMENT
MANAGER. THE SETTLEMENT RELATES TO A 2012 DECISION, BY VAN EYK AS MANAGER, FOR VBI TO INVEST IN A FUND MANAGED BY A COMPANY CALLED
ARTEFACT. MIML WAS APPOINTED RESPONSIBLE ENTITY OF THE VAN EYK BLUEPRINT FUNDS IN 2003. ON 1 AUGUST 2014, AFTER MIML LEARNED THAT
ARTEFACT, CONTRARY TO ITS INVESTMENT MANDATE, HAD INVESTED IN AN ILLIQUID INVESTMENT, MIML SUSPENDED APPLICATIONS AND
REDEMPTIONS FROM VBI AND THE THREE DIVERSIFIED VAN EYK BLUEPRINT FUNDS WHICH HAD INVESTED IN VBI. MIML THEN TERMINATED THE
RELEVANT VAN EYK FUNDS, RETURNING TO INVESTORS ALL OF THE LIQUID ASSETS IN THE FUNDS, AND PUT SIGNIFICANT RESOURCES INTO REALISING
THE REMAINING ILLIQUID ASSETS OF THE FUNDS FOR INVESTORS. BY APRIL 2015 MIML HAD ALREADY RETURNED TO INVESTORS APPROXIMATELY 89%
OF FUNDS IN THE VBI FUND, WITH THE BALANCE OF THESE PROCEEDS LAST MONTH BEING RETURNED TO VBI INVESTORS, RESULTING IN A 102.2%
RETURN ON VBI'S UNIT VALUE AT TERMINATION. FOLLOWING THIS SIGNIFICANT RECOVERY ACTION BY MACQUARIE, THE ENTIRE $30 MILLION WHICH
VAN EYK DECIDED THAT VBI INVEST IN ARTEFACT IN 2012 HAS NOW BEEN RETURNED TO INVESTORS. ASIC AND MIML HAVE AGREED IN TODAY'S
SETTLEMENT THAT, AS RESPONSIBLE ENTITY, MIML DID NOT EXERCISE SUFFICIENT CARE AND DILIGENCE IN RELATION TO VAN EYK'S DECISION TO
INVEST IN ARTEFACT, THE ONGOING MONITORING OF VAN EYK IN RELATION TO ARTEFACT, AND VBI'S LIQUIDITY. MIML FURTHER NOTES ASIC'S
ACKNOWLEDGEMENT OF THE EFFORTS MADE BY MIML TO HAVE INVESTORS' FUNDS REPAID. THIS MATTER AROSE WITHIN MIML'S NON-CORE
OUTSOURCED RESPONSIBLE ENTITY BUSINESS WHICH MIML IS NO LONGER PURSUING.