Financial Services Guide
This Financial Services Guide (FSG) is dated 5 April 2019 and is provided to you by Wenlock Capital Pty Ltd (Wenlock Capital, we, our, us) to inform you of the financial services provided by us and to comply with our obligations as the holder of an Australian Financial Services Licence (AFS Licence No. 492452).
This FSG is meant to assist you to decide whether to use our services and to explain:
who we are;
what our responsibilities are and what type of advice we give;
what to do if you have a complaint, and how it will be dealt with;
for what purpose, we use your contact data; and
how you can contact us.
This FSG contains only general information about the services we offer. If you still have any questions after reading this FSG, please contact us. Our contact details are listed at the end of this document.
Who are we and what services are we authorised to provide?
Wenlock Capital holds a current AFS Licence No. 492452 which authorises us to provide general advice on and deal in the following classes of financial products:
deposit and payment products;
government debentures, stocks and bonds; and
managed investment schemes excluding IDPS.
We are authorised to provide financial services to retail and wholesale clients.
What are our responsibilities and what type of advice do we give?
We do not provide personal advice and therefore we cannot provide a Statement of Advice. We are licensed to provide general advice. Any information or advice does not take into account your personal and financial circumstances, needs and objectives and because of that you should, before acting on the advice, consider the appropriateness of the advice having regard to your personal and financial circumstances, needs and objectives.
If you have a complaint, how it will be dealt with?
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:
Contact us immediately via phone (02) 9158 3258 or put it in writing and send to email@example.com.
If we cannot reach a satisfactory resolution within a further 45 days you can send your complaint to, The Australian Financial Complaints Authority, (AFCA) at PO Box 3 Melbourne Victoria VIC 3001. Their free call number is 1800 931 678. 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.
Wenlock Capital has a formalised client complaint resolution procedure. All complaints are reviewed and investigated by our Compliance Manager. If you make a complaint, our first response will be to contact you to discuss the complaint and to register a formal record of such complaint. We will try to resolve your complaint quickly and fairly.
In accordance with Regulatory Guide RG126 and Section 912B of the Corporations Act 2001, Wenlock Capital has Professional Indemnity Insurance in place which covers the work done for it by its employees.
For what purpose do we use your contact data.
Privacy is an important issue for us and we are committed to ensuring full compliance with Privacy Act requirements.
The personal data that we collect from you will only be used by us to assist in the planning of marketing proposals, education seminars, provision of financial services as permitted under the AMLCTF Act 2006.
How you can contact us?
Telephone: +61 2 9158 3258
22 Atchison Street
Sydney NSW 2065
Level 2, 22 Atchison Street, Sydney NSW 2065