Financial services guide

Financial services guide

This FSG is designed to provide you important information regarding the services offered by Corporate Connect Research Pty Ltd AFSL 488045 (“CCR”), and assist you in deciding whether to use the financial services offered by CCR. It provides you with an understanding of what to expect from your interaction with CCR and it should be read prior to utilizing out financial services. It has details regarding our licensed entity including the following:

  1. How you can contact us;
  2. What services we are authorised to provide;
  3. How we are remunerated for these services;
  4. Any (potential) conflicts of interest we may have;
  5. Our internal and external dispute resolution process;
1. Issue Date

1st May 2020

2. Issued by

This Financial Services Guide (FSG) is issued by:

Corporate Connect Research Pty Ltd (CCR) ABN 95 640 464 320 – Holder of Australian Financial Services License Number (AFSL) is 488045.

3. About this Financial Services Guide

This FSG is designed to provide you important information regarding the services offered by CCR, which should be read prior to subscribing to our financial research services. This FSG also includes details regarding our licensed entity, including the following:

■  How you can contact us;
■  What services we are authorised to provide;
■  How we are remunerated for these services;
■  Any (potential) conflicts of interest we may have; and
■  Our internal and external dispute resolution process.

The content of this FSG is general information only and does not take into account any person’s particular needs or objectives. CCR provides no warranty as to the suitability, for any person, of the services outlined in this FSG.

4. Contact details

Corporate Connect Research Pty Ltd

ABN:               95 640 464 320
Address:        79 Kent Street, Millers Point, NSW 2000
Phone:           0400 897 559
Email:            enquiries@corporateconnect.com.au
Website:        www.corporateconnect.com.au

5. Corporate Connect Research

Corporate Connect Research, “CCR” holds an Australian Financial Services License (AFSL). Under this license CCR can provide general financial product (securities) advice to retail and wholesale clients.

6. Nature of Advice Warning – IMPORTANT

Please note that CCR will not provide personal advice (advice that takes into consideration one or more of your financial objectives, circumstances or needs). We are obliged to warn you that our general advice provided to you as a retail client does not take account of your objectives, financial situation or needs. Therefore, you are required to ensure that you obtain advice from a licensed professional regarding the suitability, for your own circumstances, of utilising our products and services. Past performance is not indicative of future performance. Securities are subject to investment risks including the possible loss of the principal amount invested. The research provided is for information only, and does not constitute an offer to sell or a solicitation to buy any security or other financial instrument.

The information in the reports available on this website are as of a date indicated and are subject to change at any time without prior notice.

7. Financial Services Provided

For details regarding the AFSL 488045 held by CCR please refer to Appendix 1.

We are a corporate authorized representative of PACREEF.

8. Professional Indemnity Insurance

Pursuant to s912B of the Corporations Act (and Corporations Regulation 7.6.02AAA), we note that the company maintains adequate professional indemnity insurance to cover the financial services provided. The policy provides coverage to cover claims regarding professional indemnity, including misleading and deceptive conduct, intellectual property, defamation and fraud/dishonesty payable by the company per professional indemnity policy claim.

The cover extends (subject to policy terms and conditions) to the conduct of representatives/employees who no longer work for the company but who did at the time conduct occurred, that could give rise for compensation. Further information is available upon request.

9. Our record-keeping obligations

Corporate Connect Research will seek to ensure that comprehensive and accurate records of all services and products and client dealings are properly maintained.

10. Remuneration & benefits expected to be received by Corporate Connect Research for provision of our financial services.

Corporate Connect Research receives fees from the following sources:
Companies seeking to commission research to assist in lifting the profiles of the company in the general market.
All subscribers acknowledge that they have read in full and understood the Terms and Conditions of the website.

11. Disclosure of any relevant conflicts of interest

We do not have any relationships or associations that might influence us in providing you with our services and if there are any potential conflicts, these are fully disclosed in each report.

CCR may receive a fee for research work undertaken. However CCR maintains strict editorial independence under contract with clients so influence over its work product cannot occur. Also all fees are received prior to the research work is mandated so that independence is maintained. CCR does not participate in any capital raising activity nor does its research work have any nexus to any prospective capital raising. As such we believe that there is no bias as would be the case if the research was linked to any capital raising activity. For equity coverage, CCR does not provide any recommendation other than simply stating a valuation. Where CCR has received a fee for commissioned research this is fully disclosed in any reports generated in relation there to.

12. Dispute Resolution

Australian Financial Complaints Authority

You can lodge a complaint with The Australian Financial Complaints Authority (AFCA). AFCA is an external dispute resolution authority that provides free advice and assistance to help resolve complaints relating to members of the financial services industry, including managed investment schemes, pooled superannuation trusts, financial advice, investment advice and sales of financial or investment products. AFCA provides fair and independent financial services complaint resolution that is free to consumers. As time limits may apply to complain to AFCA, you should act promptly or otherwise consult the AFCA website (details below) to find out if or when the time limit relevant to your circumstances expires.

Contact details for AFCA:

Telephone:    1800 931 678
Fax:               (03) 9613 6399
Email:            info@afca.org.au
Website:        https://www.afca.org.au/

Postal Address:

Australian Financial Complaints Authority Limited
GPO Box 3  Melbourne VIC 3001

Interpreter service:  131 450

Australian Securities and Investments Commission

The Australian Securities and Investments Commission’s (ASIC) website contains information on complaining about companies and people and describes the types of complaints handled by ASIC.

To obtain further information contact the ASIC Info line: 

Telephone:     1300 300 630
Fax:                (03) 5177 3999
Email:             infoline@asic.gov.au
Website:         www.asic.gov.au

13. Privacy

Your privacy is important to us and we are committed to compliance with the Privacy Act and the National Privacy Principles. We may disclose your personal information to external or related parties who act on our behalf in the operation of our business. Such external parties are required and committed to protecting your privacy. CORPORATE CCR will not otherwise disclose your personal information without your consent, except as authorised or required by privacy laws. Please contact us if you have any concerns.

Appendix 1 AFSL Details

AFSL 488045  This licence authorises the licensee to carry on a financial services business to:

(a) provide general financial product advice for  the following classes of financial products:
(i) securities;
to retail and wholesale clients.

GENERAL ADVICE WARNING, DISCLAIMER & DISCLOSURES

Terms & Conditions

The information contained herein (“Content”) has been prepared and issued by Corporate Connect Research Pty Ltd ABN 95 640 464 320  (“Corporate Connect Research”), an Authorised Representative of PacReef Asset Management Pty Ltd. ABN 95 601 146 525, AFSL 488045. All intellectual property relating to the Content vests with Corporate Connect Research unless otherwise noted.

Disclaimer

The Content is provided on an as is basis, without warranty (express or implied). Whilst the Content has been prepared with all reasonable care from sources we believe to be reliable, no responsibility or liability shall be accepted by Corporate Connect Research for any errors or omissions or misstatements howsoever caused. Any opinions, forecasts or recommendations reflect our judgement and assumptions at the date of publication and may change without notice. Corporate Connect Research will not accept any responsibility for updating any advice, views, opinions or recommendations contained in this document.

No guarantees or warranties regarding accuracy, completeness or fitness for purpose are provided by Corporate Connect Research, and under no circumstances will any of Corporate Connect Research officers, representatives, associates or agents be liable for any loss or damage, whether direct, incidental or consequential, caused by reliance on or use of the Content.

General Advice Warning

The Content has been prepared for general information purposes only and is not (and cannot be construed or relied upon as) personal advice nor as an offer to buy/sell/subscribe to any of the financial products mentioned herein. No investment objectives, financial circumstances or needs of any individual have been taken into consideration in the preparation of the Content.

Financial products are complex, entail risk of loss, may rise and fall, and are impacted by a range of market and economic factors, and you should always obtain professional advice to ensure trading or investing in such products is suitable for your circumstances, and ensure you obtain, read and understand any applicable offer document.

Disclosures

Corporate Connect Research has been commissioned to prepare the Content. From time to time, Corporate Connect Research representatives or associates may hold interests, transact or hold directorships in, or perform paid services for, companies mentioned herein. Corporate Connect Research and its associates, officers, directors and employees, may, from time to time hold securities in the companies referred to herein and may trade in those securities as principal, and in a manner which may be contrary to recommendations mentioned in this document.

Corporate Connect Research receives fees from the company referred to in this document, for research services and other financial services or advice we may provide to that company. The analyst has received assistance from the company in preparing this document. The company has provided the analyst with communication with senior management and information on the company and industry. As part of due diligence, the analyst has independently and critically reviewed the assistance and information provided by the company to form the opinions expressed in the report. Diligent care has been taken by the analyst to maintain an honest and fair objectivity in writing this report and making the recommendation. Where Corporate Connect Research has been commissioned to prepare Content and receives fees for its preparation, please note that NO part of the fee, compensation or employee remuneration paid will either directly or indirectly impact the Content provided.

Financial Services Guide

Corporate Connect Research Pty Ltd
ABN 95 460 464 320
Corporate Authorised Representative
of PacReef Asset Management Pty Ltd
ABN 95 601 146 525
AFSL 488045

Effective Date:  1 May 2020

About Us

PacReef Asset Management Pty Ltd (PAM) is the holder of Australian Financial Services License (“AFSL”) number 488045. Corporate Connect Research Pty Ltd (CCR) is an Authorised Representative  of PAM. This Financial Service Guide (FSG) is designed to assist you in deciding whether to use CCR’s services and includes such things as:

  • who we are
  • our services
  • how we transact with you
  • how we are paid, and
  • complaint processes
Contact Details, PAM and CCR

PAM Head Office: Suite 12, Blaxland House, 5-7 Ross Street Parramatta , NSW 2150

CCR:  79 Kent Street, Millers Point, Sydney, NSW, 2000.

M: Paul Sanger 0400 897 559
E: paul@corporateconnect.com.au

CCR is the entity providing the authorised AFSL services to you as a wholesale client.

What Financial Services are we authorised to provide?

CCR is authorised to

  • provide general advice to retail and wholesale clients in relation to
    –  Securities
  • deal on behalf of retail and wholesale clients in relation to
    -Securities

The distribution of this FSG by CCR is authorized by PAM. 

 

Our general advice service

Please note that any advice given by CCR is general advice, as the information or advice given will not take into account your particular objectives, financial situation or needs. You should, before acting on the advice, consider the appropriateness of the advice, having regard to your objectives, financial situation and needs.  If our advice relates to the acquisition, or possible acquisition, of a particular financial product you should read any relevant Prospectus, Product Disclosure Statement or like instrument.  As we only provide general advice we will not be providing a Statement of Advice.

How are we paid?

CCR earns a fee from a company for providing a research report on the company, you don’t pay anything.

Associations and Relationships

PAM, CCR, its directors and related parties have no associations or relationships with any product issuers other than when advising retail clients to invest in managed funds when the managers of these funds may also be clients of PAM and CCR’s representatives may from time to time deal in or otherwise have a financial interest in financial products recommended to you but any material ownership will be disclosed to you when relevant advice is provided.

Complaints

If you have a complaint about our service you should contact your representative and tell them about your complaint.  The representative will follow PAM’s internal dispute resolution policy, which includes sending you a copy of the policy when required to.  If you aren’t satisfied with an outcome, you may contact AFCA, see below.

PAM is a member of the Australian Financial Complaints Authority (AFCA).  AFCA provide fair and independent financial services complaint resolution that is free to consumers.

Website: www.afca.org.au

Email: info@afca.org.au

Telephone: 1800931678 (free call)

In writing to: Australian Financial Complaints Authority, GPO Box 3, Melbourne, VIC, 3001.

Professional Indemnity Insurance

PAM has in place Professional Indemnity Insurance which satisfies the requirements for compensation under s912B of the Corporations Act and that covers our authorized representatives.

 

Research Dissemination Policy

Fair Dissemination of Investment Research Reports

To the extent reasonably practicable, Investment Research will be disseminated contemporaneously to all of the Corporate Connect, Sharecafe and Informed investor customers who are entitled to receive the firm’s Investment Research. Until such time, Authoring Analysts will not discuss the contents of their Investment Research with Sales and Trading or Investment Banking employees. In addition, upon its dissemination, the most recent Investment Research for each Designated Issuer in the firm’s research universe will be posted on the Corporate Conect Research Portal and will be available simultaneously for access by all of the Corporate Connect Reasearch customers who are entitled to receive the firm’s Investment Research.

Compendium Investment Research Disclosures

To request specific disclosures pertaining to the subject companies of any Compendium Investment Research, please contact us at enquiries@corporateconnect.com.au or send a request to:

Corporate Connect Research
Attn: Research Services
79 Kent Street, Millers Point
Sydney, NSW 2000

Research Distribution Policy

Corporate Connect  research is posted on the Corporate Connect Research Portal and will be available simultaneously for access by all of Corporate Connect research, Sharecafe and Informed investor customers who are entitled to receive the firm’s research. In addition research may be distributed by the firm’s sales personnel via email, instant message or other electronic means. Customers entitled to receive research may also receive it via third party vendors. Until such time as research is made available to Corporate Connect Research customers as described above, Authoring Analysts will not discuss the contents of their research with Sales and Trading or Investment Banking employees without prior compliance consent.

For further information about the proprietary model(s) associated with the covered issuer(s) in this research report, clients should contact their local sales representative

This research is distributed in Australia by Corporate Connect Research Pty Ltd ABN 95 640 464 320 holder of AFS Licence No 488045. To the extent that this research contains any advice, this is limited to general advice only. Recipients should take into account their own personal circumstances before making an investment decision. Clients wishing to effect any transactions in any financial products discussed in the research should do so through a qualified representative of Corporate Connect Research Pty Ltd.

 
 
 
Corporate Connect Research

79 Kent Street
Millers Point
Sydney NSW 2000

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