FINANCIAL SERVICES GUIDE
RaaS Advisory Pty Ltd
ABN 99 614 783 363
Corporate Authorised Representative, number 1248415
of
BR SECURITIES AUSTRALIA PTY LTD
ABN 92 168 734 530
AFSL 456663
Effective Date: 26th November 2018
About Us
BR Securities Australia Pty Ltd (BR) is the holder of Australian Financial Services License (“AFSL”) number 456663.
RaaS Advisory Pty Ltd (RaaS) is an Authorised Representative (number 1248415) of BR.
This Financial Service Guide (FSG) is designed to assist you in deciding whether to use RaaS’s services and
includes such things as :
- who we are
- our services
- how we transact with you
- how we are paid, and
- complaint processes
Contact Details, BR and RaaS
BR Head Office: Level 14, 344 Queen Street, Brisbane, QLD, 4000
RaaS. 20 Halls Road Arcadia, NSW 2159
P: +61 414 354712
E: finola.burke@raasgroup.com
RaaS is the entity providing the authorised AFSL services to you as a retail or wholesale client.
What Financial Services are we authorised to provide? RaaS is authorised to provide:
- general advice to retail and wholesale clients in relation to securities
- deal on behalf of retail and wholesale clients in relation to securities
The distribution of this FSG by RaaS is authorized by BR.
Our general advice service
Please note that any advice given by RaaS is general advice, as the information or advice given will not take into
account your particular objectives, financial situation or needs. You should, before acting on the advice, consider the
suitability of the advice, having regard to your objectives, financial situation and needs. If our advice relates to
the acquisition, or possible acquisition, of a particular financial product you should read any relevant Prospectus,
Product Disclosure Statement or like instrument. As we only provide general advice we will not be providing a
Statement of Advice. We will provide you with recommendations on securities.
Our dealing service
RaaS can arrange for you to invest in securities issued under a prospectus by firstly sending you the offer document
and then assisting you fill out the application from if needed.
How are we paid?
RaaS earns fees for producing research reports. Sometimes these fees are from companies for producing research
reports and/or a financial model. When the fee is derived from a company, this is clearly highlighted on the front page
of the report and in the disclaimers and disclosures section of the report.
We may also receive a fee for our dealing service, from the company issuing the securities.
Associations and Relationships
BR, RaaS, its directors and related parties have no associations or relationships with any product issuers other than
when advising retail clients to invest in managed funds when the managers of these funds may also be clients of BR.
RaaS’s representatives may from time to time deal in or otherwise have a financial interest in financial products
recommended to you but any material ownership will be disclosed to you when relevant advice is provided.
Complaints
If you have a complaint about our service you should contact your representative and tell them about your complaint.
The representative will follow BR’s internal dispute resolution policy, which includes sending you a copy of the policy
when required to. If you aren’t satisfied with an outcome, you may contact AFCA, see below.
BR is a member of the Australian Financial Complaints Authority (AFCA). AFCA provide fair and independent
financial services complaint resolution that is free to consumers.
Website:www.afca.org.au; Email: info@afca.org.au; Telephone: 1800931678 (free call)
In writing to: Australian Financial Complaints Authority, GPO Box 3, Melbourne, VIC, 3001.
Professional Indemnity Insurance
BR has in place Professional Indemnity Insurance which satisfies the requirements for compensation under s912B of
the Corporations Act and that covers our authorized representatives.
