Raisebook

Financial Services Guide
Issue Date: 30 May 2016
Raisebook Pty Ltd
Suite 1410
530 Little Collins Street
Melbourne VIC 3000
Ph: 0488 666 222

Corporate Authorised Representative (1242457) of

Longhou Capital Markets Pty Ltd (AFSL 292464)
Suite 8B, Level 1,
23 Main St,
Varsity Lakes QLD 4227
Ph 1300 882 402
Longhou Capital Markets Pty Ltd (AFSL 292464)
PO Box 579
Varsity Lakes Qld 4227

This Financial Services Guide (FSG) is dated 30 th May, 2016 and replaces all previous versions.

Longhou Capital Markets Pty Ltd (ACN 114 266 698) (AFSL 292464) authorise the distribution of this FSG.

About This Guide

This Financial Services Guide (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.
  • What to do if you have a complaint about our services.

If you need further information on any of these matters, please ask.

About Us

Raisebook Pty Ltd (ACN 610 173 843 ) is a Financial Services Company facilitating Advisory Services to Australian Domiciled Retail and Wholesale Clients in Securities. Information provided by Raisebook Pty Ltd. is General Financial Product advice only and is prepared without taking account of any client’s objectives, financial situation or needs. You should consider seeking the advice of relevant 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 Raisebook Pty Ltd authorisations through the Licensee, Longhou Capital Markets Pty Ltd (AFSL 292464). The licensee is ultimately responsible for the advice provided and services offered to clients of Raisebook Pty Ltd.

Raisebook Pty Ltd and Longhou Capital Markets are not registered tax agents and any reference to tax is incidental and must be confirmed with a registered tax agent.

Articles are posted on our website to assist clients with their trading needs. The articles contain general trade recommendations, listed and unlisted company profiles, educational information and adviser profiles. Clients need to analyse and adjust the general trading advice to their own situation. A key advantage of the system is that clients are able to access our information from any computer in the world. This means that the client is not tied to a particular computer and is able to access our information at any time, anywhere.

What Are Our Authorisations

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

  • Securities

Raisebook Pty Ltd is authorised to provide these advisory services to retail and wholesale clients within Australia.

Who Is Your Advisor?

Raisebook Pty Ltd is your Adviser and is a Corporate Authorised Representative (No.1242457) of Longhou Capital Markets Pty Ltd (AFSL292464).

To Obtain Services From Us

If you do not have a nominated advisor, you can contact us at:

Office Address

Suite 1410
530 Little Collins Street
Melbourne VIC 3000
Ph: 0488 666 222

As the Licensee, Longhou Capital Markets Pty Ltd is responsible for the advice you receive from us. If your advisor is unable or unwilling to provide you with advice or services in respect of certain products, the advisor will refer you to another representative of Longhou Capital Markets Pty Ltd, who should be able to assist you.

General Financial Advice

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

You need to take this into account before deciding whether or not to act on it.

What do we expect from you?

We expect that you will provide us with accurate information that we request so that we have a reasonable basis on which to provide you with general advice.

We expect that you will use our advice to enable you to make informed financial decisions.

What Are The Possible Consequences Of Not Providing This Information?

You are of course at liberty to decline to provide some or all of this information, but if you do not provide it, any recommendations we make may not be appropriate to your needs and objectives. In certain cases, your failure to provide information may place us in a position where we cannot provide any advice or any financial services to you.

AML/CTF

As a financial service provider, we have an obligation under the Anti-Money Laundering and Counter Terrorism Finance Act to verify your identity and the source of any funds. This means that we will ask you to present identification documents such as passports and drivers licence. We will also retain copies of this information. We assure you that this information will be held as per our Privacy Policy.

Privacy

We are committed to implementing and promoting a privacy policy which will ensure the privacy and security of your personal information. A copy of our privacy policy will be provided upon your request or it can be found at http://www.lcmarkets.com.au/about-us/privacy-policy/

How are we Paid for the Services We Provide?

Raisebook Pty Ltd fees are generated from services it provides companies who pay for reports and analysis and publishing articles and from advertising space on related websites.

What Fees, Commissions or other Benefits?

Employees of Raisebook Pty Ltd are remunerated in a variety of ways including salary, wages bonuses and commissions based on sales generated.

Do any Relationships Exist Which Might Influence The Service or Advice I Receive?

Raisebook Pty Ltd is not owned by any Fund Manager or institution. Raisebook Pty Ltd is remunerated by preparing articles and providing a website facility which allows Listed and Unlisted companies and Advisers to showcase their public profiles.

Longhou Capital Markets Pty Ltd is associated with the following companies:

  • Longhou Investment Group Pty Ltd
  • Longhou Investment Holdings Pty Ltd

These companies may receive a percentage of the brokerage and other income generated by us relating to transactions carried out for clients, as well as refer potential clients to us.

Our advisors are aware of their obligations to disclose the extent and nature of any relationship that may influence their decisions at the time the advisors provide a financial service in related products. A full list of products provided is available on our website. http://www.lcmarkets.com.au/about-us/approved-products-list/

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

No.

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

Although Raisebook Pty Ltd are authorised by Longhou Capital Markets Pty Ltd to provide general financial product advice only. General advice includes information contained on our website. 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 adviser before making your own investment choice.

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

We need to hold all information you give us for a period of 7 years. Yes you can view information held by making a request.

How Can I Give you Instructions Regarding My Account?

You may specify how you would like to give us instructions, for example, by telephone, fax or other means.

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

Raisebook Pty Ltd has arrangements in place through AG Capital to ensure that it continues to maintain Professional Indemnity Insurance in accordance with Section 912 B of the Corporations Act 2001, (as amended). In particular the Professional Indemnity Insurance, subject to its terms and conditions, provides indemnity up to the sum insured for the Licensee and its authorised representatives in respect of our authorisations and obligations under the Australian Financial Services License.

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 any complaint about the service provided to you, you should take the following steps:

If your complaint is not satisfactorily resolved within 7 days please contact Raisebook Pty Ltd’s authorising licensee (Longhou Capital Markets Pty Ltd) on Phone 1300 882 402. Or put it in writing and email to admin@lcmarkets.com.au

If we cannot reach a satisfactory resolution within a further 45 days you can raise your concerns with the Financial Ombudsman Service on 1300 78 08 08.

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.