This Financial Services Guide ("FSG") is issued by Whitefield Capital Management Pty Ltd ("WCM", "we", or "our") and is designed to help you decide whether to use our financial services and products. It explains:
Name Whitefield Capital Management Pty Ltd
ABN 76 074 709 210
AFSL 229 843
Address Suite 1901, Level 19, 68 Pitt St, Sydney, NSW 2000
Telephone (02) 8215 7900
Email contact@whitefield.com.au
Website www.whitefield.com.au
Under our AFSL, we are authorised to provide a range of financial services and products to retail and wholesale clients, including:
a) providing advice for: basic and non-basic deposit products; derivatives; government debentures, stocks or bonds; life products; certain managed investment schemes; retirement savings accounts; securities and superannuation.
b) issuing, applying for, acquiring, varying or disposing of: derivatives; certain managed investment schemes; securities and superannuation.
c) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of: basic and non-basic deposit products; derivatives; government debentures, stocks or bonds; life products; managed investment schemes; retirement savings accounts; securities and superannuation.
d) providing certain custodial or depository services.
WCM does not provide personal financial advice to retail clients.
Any advice provided to you has been prepared without taking into account your objectives, financial situation or needs. You should therefore consider the appropriateness of the advice in light of your own objectives, financial situation or needs, before acting on the advice. If the advice relates to the acquisition or possible acquisition of a particular financial product, you should obtain a copy of and consider the prospectus or other relevant disclosure document for that product before making any decision.
Remuneration and fee arrangements
WCM will not charge you a fee or commission for any general advice or information provided to you. If you acquire or dispose of any financial product in relation to which WCM has provided general advice, through a broker or financial adviser, you may be required to pay fees to those parties.
WCM is the manager of two ASX Listed Investment Companies (Whitefield Industrials Ltd and Whitefield Income Ltd) and is the trustee and manager of a several unregistered managed investment schemes that offer investments to wholesale clients. WCM receives management fees from each of these entities. Those management fees are not linked to the outcome of any general advice provided by WCM.
Representatives of WCM hold direct or indirect interests in some or all of the Listed Investment Companies and managed investment schemes for which WCM is the manager.
Compensation arrangements
WCM has arrangements in place to maintain professional indemnity insurance suitable for its business and as required by the Corporations Act. The insurance cover extends to include claims arising from the conduct of its employees, including those who no longer work for WCM (but did so at the time of the relevant conduct).
Complaints
If you wish to lodge a complaint about the service provided to you, you should contact WCM by email, phone or in writing as follows:
If you are not satisfied with our response, you can lodge a complaint with the Australian Financial Complaints Authority (AFCA) as follows:
WCM is a member of AFCA (membership number 11005).