Financial Services Guide


Issue Date: 15 October 2018

This Financial Services Guide (FSG) is dated 15 October 2018 and replaces all previous versions. LeMessurier Securities Pty Ltd (ACN 111 931 849, AFSL No. 296877) authorise the distribution of this FSG.

About This Guide

This FSG is an important document that is designed to tell you about:

  • Who we are;
  • How you can contact us;
  • The financial services we offer so you can make an informed decision whether to use those services;
  • Information we need from you;
  • The cost of our advisory services and how we pay our representatives; and
  • What to do if you have a complaint about our services.

If you need further information on any of these matters, please contact us at [email protected]

About Us

S3 Consortium Pty Ltd (ACN 135 239 968) trading as StocksDigital is a financial services company facilitating advisory services to Australian domiciled retail and wholesale clients in Securities and Interests in Managed Investment Schemes. Information provided by S3 Consortium Pty Ltd is general financial product advice only and is prepared without taking into account any of your objectives, financial situation or needs. You should consider seeking the advice of relevant legal, taxation, superannuation, and/or other relevant advisors before the information is acted on.

We will not provide advice on classes of financial products other than those identified in S3 Consortium Pty Ltd authorisations under the AFSL through which it operates. S3 is a Corporate Authorised Representative (Number 000433913) of LeMessurier Securities Pty Ltd (ACN 111 931 849) holder of AFSL No. 296877

S3 Consortium Pty Ltd is not a registered tax agent and any reference to tax is incidental and must be confirmed with a registered tax agent.

The articles posted on our website and emailed to subscribers contain general information and commentary about the companies that we are interested in. Readers are able to access our website anywhere, at any time and our newsletter is free to subscribe.

What Are Our Authorisations

S3 Consortium Pty Ltd is authorised to provide general financial product advice on the following financial products:

Securities

Interests in Managed Investment Schemes

S3 Consortium Pty Ltd is authorised to provide general financial product advice to retail and wholesale clients within Australia.

To Contact Us

You can contact us via email at [email protected] or at our office at: Level 6, 152 Elizabeth St, Melbourne VIC 3000.

General Financial Advice

We will only offer you general financial product advice. You should note that general advice does not relate specifically to you and therefore may not be appropriate to your particular financial needs, objectives and circumstances.

You need to take this into account before deciding whether or not to act on the information provided.

What Do We Expect From You?

We expect that you will provide us with accurate information when you subscribe for our services so that we have a reasonable basis on which to provide you with general advice.

Privacy

We are committed to implementing a privacy policy which will ensure the privacy and security of your personal information. To view our Privacy Policy, click here.

How are we Paid for the Services We Provide?

S3 Consortium Pty Ltd’s fees are generated from the services it provides companies who pay for content production and content distribution.

Does any Relationship Exist Which Might Influence The Service or Advice I Receive?

Neither S3 Consortium Pty Ltd nor LeMessurier Securities Pty Ltd are owned by a Fund Manager or institution. S3 Consortium Pty Ltd is remunerated by preparing articles and analysing companies which are then published through S3 Consortium’s websites.

We disclose up front all of the positions we hold in relation to a particular company that we provide commentary on. In our Disclosure Policy you will find our self-imposed trading blackouts, hold conditions and de-risking (sell conditions) which seek to mitigate against any potential conflicts of interest. To view our Disclosure Policy, click here.

Our advisors are aware of their obligations to disclose the extent and nature of any relationship that may influence their decision making at the time the advisors provide a financial service.

Will You Give Me Advice That is Suitable To My Investment Needs and Financial Circumstances?

No, S3 Consortium provides general financial product advice only.

What Should I Know About The Risks of The Investment Recommendations Made To Me?

S3 Consortium Pty Ltd are authorised by LeMessurier Securities Pty Ltd to provide general financial product advice only. General advice includes information contained in our articles and publications about our views on companies and markets we are interested in or invest in. The information provided on our website does not provide advice about products suitable for your particular needs, objectives, or financial circumstances, even if we may have commented in view of the current or future market conditions or prospects for the securities.

This information does not constitute personal investment advice and it has been prepared without taking into account your objectives, financial situation or needs.

You should always consider the appropriateness of the advice, in light of your own objectives, financial situation or needs before acting on the advice. You should consider and discuss this information with your financial professional before making an investment decision.

What Information Do You Maintain in My File And Can I Examine My File?

It is a requirement by law that we hold all information you give us for a period of 7 years. You can request to view the information we hold at any time.

What Kind Of Compensation Arrangements Are In Place And Are These Arrangements Compliant?

S3 Consortium Pty Ltd has arrangements in place through LeMessurier Securities to ensure that it continues to maintain Professional Indemnity Insurance given the requirements to have adequate compensation arrangements regarding financial services provided to retail clients under Section 912B of the Corporations Act 2001 (Cth).

What Should I Do If I Have A Complaint?

We are committed to providing quality advice to our clients. This commitment extends to providing accessible complaint resolution mechanisms for our clients. If you have a complaint about the service provided to you, please contact your S3 Consortium Pty Ltd advisor immediately.

If your complaint is not satisfactorily resolved within 7, days please contact S3 Consortium Pty Ltd’s authorising licensee LeMessurier Securities Pty Ltd on (02) 8278 9541 or by email at [email protected]

If we cannot reach a satisfactory resolution within a further 45 days, you can raise your concerns with the Credit and Investments Ombudsman on 1800 138 422 or visit the website www.cio.org.au.

The Australian Securities and Investments Commission, (ASIC), also has a free call info line on 1300 300 630 which you may use to make a complaint or obtain information about your rights.

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