Financial Services Guide (FSG)

Financial Services Guide

This Financial Services Guide (FSG) was issued on the [XXXX date]

This FSG has been prepared to give you general information about the services and products we offer before we provide you with advice. The FSG is an important document and a regulatory requirement under Corporations Law. This document has been issued by [XXX Pty Ltd, holder of an Australian Financial Services Licence (AFSL#XXX).

What Financial Products & Services can we provide?

Our Australian Financial Services licence authorises us to provide financial product advice to both retail and wholesale clients on securities. We can provide advice on all classes of securities, including:

ASX traded securities

US and Canadian traded securities

Singapore traded securities

Who will provide me with financial product advice?

Advice is provided by our authorised representatives, for and on behalf of [XXXX]. They may be an individual or in some instances a company. Please refer to the attached Adviser Profile or supplementary FSG for specific information regarding your chosen adviser.

How will financial product advice be given to me?

Your adviser may provide you with advice through a number of means including:

Email
Telephone
Newsletter
Software
Mentoring
Training

Please refer to the attached Adviser Profile or supplementary FSG for specific information regarding how your chosen adviser will provide financial product advice to you.

Do you provide general or personal financial product advice?

Tradesignals Pty Ltd and its authorised representatives provide general financial product advice only. This means that the advice has not been prepared by taking into account your personal investment objectives, financial situation or particular needs. Before acting on any general advice, you need to decide whether it is appropriate for your individual financial situation. If you are in any doubt, you should consult with a licensed investment adviser, broker or accountant before making an investment decision.

Please note that Tradesignals Pty Ltd is not licensed to deal, or hold client funds. All dealing services offered to our clients are transacted by a suitable licensed third party.

What risks are involved in trading these financial products?

The risk involved varies depending on the instrument traded. Investing in ASX top 200 stocks for instance is usually considered to carry less risk than trading in more volatile shares outside the ASX top 200.

The exact risks associated with each product will be outlined in detail in the relevant PDS, which will be provided to you by your chosen broker. You should consider the information contained in the relevant PDS before trading any of the products we may advise you on.

When will I receive a Product Disclosure Statement (PDS)?

Tradesignals Pty Ltd is not licensed to deal or hold client funds, and provide general financial product advice only. Once a client has considered the advice given, and decides to act on the advice, they will communicate the relevant order for execution to their broker.

The broker will therefore be the issuer and the one responsible for providing the client with a PDS.

What Fees and commissions do you receive?

Our advisers provide a wide variety of financial products & services, and the fees you pay can vary significantly between advisers. You may pay a once-off fee to attend an educational seminar or training workshop, or you may pay a monthly subscription for regular newsletters or portfolio management services. Some of our advisers will supply you with software to assist you in making trading decisions. You may pay an initial purchase price for the software, and ongoing fees for support and / or data feeds. We also act as an ‘introducing broker’ (IB) to suitably licensed brokers or market makers who can perform dealing and execution services on your behalf. Where we, or one of our authorised representatives refer you to a third party under an IB arrangement, we may receive a % of the ongoing brokerage or fees you pay as a monthly rebate. These payments are deducted from the gross brokerage or fees you pay, and do not increase the amount of brokerage or fees you pay fo these services.

Our advisers will clearly explain all fees payable by you prior to any advice or product being offered to you, and a tax invoice can be provided upon request. Please refer to the attached adviser profile or supplementary FSG for details on the exact fee structure and if applicable, IB rebates, that will remunerate your adviser.

Compensation and Insurance Arrangements

At the date of preparing this document, Tradesignals Pty Ltd have professional indemnity insurance that covers the conduct of both current and past representatives. This cover complies with s912B of the Corporations Act 2001.

We collect your personal information when you:

1. Complete and submit forms on our website &

2. Return completed paper account opening forms

We do not disclose any non-public, personal information about our customers, former customers, or potential customers to anyone, except as required to provide agreed services through third party service providers. We may contact you from time to time with promotional and marketing material via phone, email and mail. If at any time you do not wish to receive marketing material please

What If I have a complaint?

If you have a complaint about our products, services, or conduct of one of our authorised representatives you should contact us immediately. We will seek to resolve your complaint quickly and fairly. If your complaint is not resolved within a reasonable time by one of our staff, please contact the Compliance Officer at the address below:

Tradesignals Pty Ltd

Attention: The Compliance Officer

8/9 Bermill Street, Rockdale, NSW 2218

If your complaint cannot be resolved to your satisfaction you have the right to have your complaint heard by the Australian Financial Complaints Authority (AFCA). AFCA is an impartial and independent dispute resolution scheme authorised to deal with complaints in relation to financial services. They can be contacted on 1800 931 678 or on the web at www.afca.org.au

Who will be providing me with financial product advice?

Your adviser is Tradesignals Pty Ltd. Tradesignals Pty Ltd (AR # XXXX) have been appointed a Corporate authorised representative of the [XXXX Pty Ltd] (AFSL # xxxx).

How can I contact my Adviser?

Tradesignals Pty Ltd

ABN 42 680 218 973

Unit 8, 9 Bermill Street

Rockdale NSW 2218

Phone: 02 8530 8322

Email: info@tradesignals.com.au

Web: www.tradesignals.com.au

What Financial Services are you authorised to provide?

Tradesignals Pty Ltd is authorised to provide general financial product advice on:

Securities

To both wholesale and retail clients.

How will this advice be provided?

We currently provide this advice through our website, email alert service and newsletter publication. We do not provide any facilities for buying or selling securities. Please note that all our publications provide general advice only. This is an important consideration and means that the advice has not been prepared by taking into account the particular investment objectives, financial situation and particular needs of any individual investors. It is a general information service only. You should assess whether it is appropriate in light of your own individual investment objectives, financial situation and particular needs. If necessary, you should consult with a licensed investment adviser or dealer in securities such as a stockbroker before making an investment decision.

How will I be charged for this advice?

Tradesignals Pty Ltd operates a subscription-based business. When you subscribe you will be required to pay a fixed fee according to the length of the subscription period. No other fees or commissions are charged on our products. All amounts payable will be made known to you prior to any service being offered, and a tax invoice will be provided to you upon request.

Do you receive any other benefits or commissions and how is that commission calculated?

Where we refer you to a third party under an IB arrangement (i.e. XXXX Stockbroker], we may receive up to 50% of the brokerage or fees you pay as a monthly rebate, deducted from the gross brokerage or fees you pay, and these do not increase fees you pay for these

services.

Client Acknowledgement of FSG & Supplementary FSG

I acknowledge that I have been provided with a copy of the [XXXX Pty Ltd] Financial Services Guide (AFSL #XXXX). I also acknowledge that:

1. General financial product advice has been provided to me by Tradesignals Pty Ltd, on behalf of the I[XXXX Pty Ltd].

2. The cost of the advice has been clearly explained to me.

3. All advice provided to me has been of a general nature only, and neither Tradesignals Pty Ltd nor any of its sub-authorised individuals have taken my personal financial circumstances and requirements into consideration when presenting this advice.

4. Trading speculatively in financial markets such as securities & derivatives entails risk, decision to act on the general advice provided to me by Tradesignals Pty Ltd is at my own volition.

5. I will not hold Tradesignals Pty Ltd accountable for factors outside of their control, performance and market conditions. the amount of brokerage or is done so on my own sub-authorised individuals, or the International including investment performance and market conditions.