Financial Services Guide

1.

What is a financial services guide?

1.1

This Financial Services Guide (FSG) is an important document that provides you with information to help you decide whether to use the financial services we offer. It contains information about:

(a)

the financial services we provide;

(b)

how we and other associated persons are remunerated from those financial services;

(c)

how your personal information is dealt with; and

(d)

how complaints are dealt with.

1.2

This FSG is dated 1 October 2021.

1.3

Who are we?

1.4

This FSG has been issued by Investment Markets (Aust) Pty Ltd ACN 634 057 248 (IMA, we, us and our), the holder of Australian Financial Services Licence (AFSL) no. 527875. IMA is the operator of https://investmentmarkets.com.au (“the Website”)

2.

What financial services do we provide?

2.1

Our AFSL authorises us to provide general financial product advice to retail and wholesale clients on various products, including managed investment scheme interests, securities, basic and non-basic deposit products, government debentures, retirement savings accounts and superannuation.

2.2

General financial product advice does not relate specifically to you and therefore may not be appropriate to your particular financial needs, objectives and financial circumstances. We will not provide you with personal advice.

2.3

We provide financial services in the operation of the Website which aims to provide a medium where investment opportunities can be promoted to prospective investors by entities seeking to raise capital. Our Website does not cover all investment opportunities in the market.

2.4

IMA acts on its own behalf, and not on your behalf, when providing financial services to you.

3.

How can you transact with us?

3.1

You can communicate with us by telephone, email or mail. Our contact details are set out at the end of this FSG.

4.

How are we paid for the services we provide?

4.1

We are remunerated by charging fees to product issuers and providers (Listees) who advertise their product or investment offer on the Website. Such fees, if charged, may be a fixed amount and payable prior to the Listee advertising on the Website, an amount paid by a Listee each time a client is redirected from our Website to the Listee’s website, or a combination of both. Depending on the Listee’s circumstances (for example, an advertising campaign for a specific duration or an ongoing campaign), the fee may be charged once, periodically (such as monthly) or per event. Our fees are not dependent or variable upon whether the Listee raises capital from investors, or sells financial products to clients, sourced via the Website.

4.2

If you would like further details, please contact us within 7 days of receiving this FSG and prior to obtaining any financial services from us.

4.3

We do not charge fees to, or receive remuneration from, the potential investors in, or purchasers of, the financial products promoted on the Website.

4.4

Our officers and employees who are involved in the provision of financial services by IMA receive an annual salary. They may also receive a bonus or be offered participation in an employee share plan based on IMA achieving revenue, profit or other financial or non-financial targets.

5.

Relationships, associations and referrals

5.1

We have no specific financial relationships, associations or referral arrangements that influence us in advertising investment and financial products on the Website.

5.2

Product issuers and providers who advertise on the Website may include entities in which directors and other officers, or owners, of IMA have an interest.

5.3

If a Listee refers a product issuer or provider to us who advertises on the Website, we may provide a referral benefit to that Listee, such as a discount on its Listee fees. If you would like further details, please contact us within 7 days of receiving this FSG and prior to obtaining any financial services from us.

6.

Compensation arrangements

IMA holds an insurance policy covering professional indemnity and fraud by officers that satisfies the requirements of section 912B of the Corporations Act 2001 (Cth). The policy covers the financial services we are authorised to provide under our AFSL, including when the services are provided by us or (to the extent applicable) by other current or former authorised representatives.

7.

What should you do if you have a concern or complaint?

7.1

If you have a complaint resulting from the services we provide to you, please contact us by:

Phone:

+61 7 3220 3428

Email:

info@investmentmarkets.com.au

In writing:

GPO Box 2227
Brisbane QLD 4000

7.2

You will be contacted in writing immediately or, where we are unable to reply immediately, as soon as possible, acknowledging receipt of your complaint and we will try to resolve any issues you may have within 30 days.

7.3

We are a member of the Australian Financial Complaints Authority. If an issue has not been resolved to your satisfaction, you can lodge a complaint with the Australian Financial Complaints Authority, or AFCA. AFCA provides fair and independent financial services complaint resolution that is free to consumers:

Website:

www.afca.org.au

Email:

info@afca.org.au

Phone:

1800 931 678

In writing:

Australian Financial Complaints    
Authority
GPO Box 3
Melbourne VIC 3001

8.

How is your personal information dealt with?

Protecting your personal information is important to us. Your personal information will be dealt with in accordance with our privacy policy which is available from us on request. Alternatively, you can view our privacy policy at www.investmentmarkets.com.au.

9.

Contact details

If you have any queries or would like further information, our contact details are set out below:

Phone:

+61 7 3220 3428

Email:

info@investmentmarkets.com.au

In writing:

GPO Box 2227
Brisbane QLD 4000

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