Securities International Limited operates under Australian Financial Services Licence Number 260231 pursuant to section 913B of the Corporation Act 2001.
ASIC is the Australian Federal Government Body which administers and ensures compliance within the corporation's legislation. It regulates the activities of organisations dealing in securities. The establishment and strict enforcement of such rules and regulations ensure that those granted a licence to conduct these activities adhere to the highest standard of compliance. The laws in Australia are regarded as providing one of the highest standards of compliance in the world. |
| Chairman of Compliance Committee |
| MR. STEPHEN J. DUNCAN |
Suite 215 , Level 2 111 Harrington Street
Sydney NSW 2000
Australia
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| Accountants to the Company |
| COUNTABILITY |
Suite 3, Level 1, 112 Main Street
Blacktown NSW 2148
Australia
|
| Auditors to the Company |
| STEPHENSON |
PO Box 921
Gosford NSW 2250
Australia
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| SECURITIES INTERNATIONAL LIMITED |
| Australian Business Number (ABN) 37 073 988 226 |
| FINANCIAL SERVICES GUIDE |
This Financial Services Guide is dated 1 December 2004 and remains current as at the date it was provided to you.
This Financial Services Guide (FSG) is intended to assist you in deciding whether to use any of the Financial Services we can provide to you. It provides information regarding certain basic matters including our fees, products and services offered by Securities International Limited, herein called SIL and what you can do if you have a complaint about our services. |
| Products and Services that Securities International Limited is licensed to offer |
This authorises Securities International Limited to carry on a financial services business to:
- provide general financial product advice for the following classes of financial products:
- deposit and payment products limited to:
- basic deposit products;
- deposit products other than basic deposit products;
- derivatives limited to:
- old law securities options contracts and warrants
- debentures, stocks or bonds issued or proposed to be issued by government
- interests in managed investment schemes including:
- investor directed portfolio services;
- securities; and
- superannuation; and
- deal in financial product by
- issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
- derivatives limited to:
- old law securities options contracts and warrants;
- interests in managed investment schemes including:
- investor directed portfolio services;
- securities; and
- superannuation;
- applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
- deposit and payment products limited to:
- basic deposit product
- deposit products other than basic deposit products;
- derivatives limited to:
- old law securities options contracts and warrants;
- debentures, stocks or bonds issued or proposed to be issued by government;
- interests in managed investment schemes including:
- investor directed investment portfolio services
- securities; and
- superannuation; and
- underwriting:
- an issue of securities; to retail and wholesale clients.
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| Information Securities International Limited maintains certain information |
| We maintain copies of any correspondence with you in relation to information provided regarding possible capital raising options. If you wish to examine this information, you should contact us and we will make arrangements for you to do so. |
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