Financial Services Guide

Date: 14 November 2019
Version 1.1

Introduction
This Financial Services Guide (“FSG”) is dated 14 November 2019 and is provided to you by Evolution Equities Pty Ltd (ACN 632 345 218) (“Evolution Equities”, “we”, “our”, “us”, “Providing Entity”) to inform you of the financial services provided by us and to comply with our obligations as an Authorised Representative (number 1274912) of Amplus Global Pty Ltd (“Amplus Global”) (ACN 162 631 325), the holder of Australian Financial Services (“AFS”) Licence number 505929.

The distribution of this FSG by Evolution Equities has been authorised by Amplus Global.

Amplus Global Pty Ltd
707A The Scenic Road
MacMasters Beach NSW 2251
Telephone: (02) 4396 3561
Mail: PO Box 6269
Kincumber NSW 2251
Web: www.amplusglobal.com.au
Email: info@amplusglobal.com.au

This FSG is meant to assist you to decide whether to use our services and to explain:
• Who we are.
• What financial services we provide and the products to which those services relate.
• What our responsibilities are and what type of advice we give.
• How you can instruct us.
• What you can expect to pay for the financial services.
• What remuneration and other benefits may be paid to us, our employees or others.
• Relationships and associations.
• What to do if you have a complaint – and how it will be dealt with.
• For what purpose we use your contact data?
• 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.

What other disclosure documents and statements will I receive?
Since Evolution Equities is not authorised to provide you with personal financial product advice, there is no requirement for you to be provided with a Statement of Advice (“SOA”).

Pursuant to Section 1012D of the Corporations Act 2001 (Cth) (“the Act”), we are not required by law to provide you with a Product Disclosure Statement (“PDS”). Should you engage the services of an applicable financial product issuer, then they will be obligated to provide you with a PDS or other relevant disclosure documents that include information about the financial product so that you can make an informed decision as to whether to acquire the product. It would include any relevant terms, significant risks and costs associated with the supply of that financial product.

How you can instruct us and your obligations?
We will accept your instructions in person, via telephone, letter, email or other applicable electronic device.

You must check and confirm with us that instructions sent electronically, have in fact been received by us.

Who are we and what services are we authorised to provide?
Amplus Global is the holder of AFS Licence number 505929 with authorisations to provide the following financial services:

Provide financial product advice for the following classes of financial products:
• Deposit and payment products limited to:
o Basic deposit products
• Derivatives
• Foreign Exchange Contracts
• Interests in managed investment schemes excluding investor directed portfolio services
• Securities
Deal in a financial product by issuing, applying for, acquiring, varying or disposing of a financial product in respect of following classes of financial products:
• Interests in managed investment schemes limited to:
o MDA services
Deal in a financial product by applying for, acquiring, varying or disposing a financial product on behalf of another person in respect of the following classes of products:
• Deposit and payment products limited to:
o Basic deposit products
• Derivatives
• Foreign Exchange Contracts
• Interests in managed investment schemes excluding investor directed portfolio services
• Securities
to retail and wholesale clients.

Evolution Equities is an Authorised Representative of Amplus Global and is only permitted to provide the following financial services:

Provide general financial product advice for the following classes of financial products:
• Securities

Deal in a financial product by applying for, acquiring, varying or disposing a financial product on behalf of another person in respect of the following classes of products:
• Securities to retail and wholesale clients.

What are our responsibilities and what type of advice do we give?
Evolution Equities is a boutique financial services provider specialising in providing its clients with execution and advisory services. Amplus Global ensures its clients are provided with proficient and professional broking services by only using the services of reputable executing and clearing brokers and service providers.

We can offer you factual market data and information (general advice only) in regard to securities, and options on securities, traded on approved exchanges – local and domestic.

Any advice is general in nature and has not taken into account the objectives, financial situation or needs of any person. We encourage you to consult a professional adviser to help you form your own opinion of the information and on whether the information is suitable for your individual objectives and needs as an investor. Where necessary, you should obtain a PDS relating to the product and consider it before making any decision about whether to acquire the product.

The costs, remuneration and other benefits that may be received by us, or our employees and others.

The information in this section is subject to change and does not include information in relation to taxes or duties that you may be required to pay in relation to an investment. Unless otherwise stated, all fees, charges, commissions and benefits disclosed in the FSG are exclusive of the Goods and Services Tax (“GST”) and are subject to change.

Evolution Equities is remunerated through the fees and commissions that it charges you for executing transactions on your behalf and for the provision of advice. Fees and commissions charged to you will depend on the type of financial product being traded, the frequency of your trading activity, the type and level of service required and the size of your transaction. Rates are subject to negotiation prior to transacting any business. Fees and commissions, once disclosed and agreed, will be charged to your account at the time any transaction is executed.

Our employees, directors, associates and any other relevant persons, may in turn be remunerated on a commission basis, in addition to their salary, for the services provided to you.

Evolution Equities may have contractual relationships with related bodies corporate, including any associates of the above. All such dealings, where applicable, are conducted on an arm’s length basis.

The fee and commission rates below are the maximum that Evolution Equities may charge and are provided as a guide only. A detailed description of the fees, charges and commissions payable are contained in the PDS for the relevant financial product. Evolution Equities will provide you with details of the rates applicable to you at the time you enter into the client agreement.

Product Basis Maximum Fee
Securities – domestic Per transaction Up to AUD$100 (plus GST*) or 1% of the transaction value (plus GST*) (whichever is greater).
Securities – international Per transaction up to AUD$100 equivalent (plus GST*) or 1% of the transaction value (plus GST*) (whichever is greater).
ETOs Per transaction up to AUD$100 (plus GST*) or 1% of transaction value (plus GST*) (whichever is greater).
* GST may be exempt in certain cases
There may be other charges applicable to a securities trading account that are passed on by third party service providers. These fees and charges will be fully noted in the Agreement that you will be signing with the third party service provider.

There may be numerous other fees that may triggered depending on the style of your account.

Amplus Global, acting reasonably may change these rates from time to time. Such changes will be notified to you by email, in writing or where you have agreed by us posting a notice to our website, www.amplusglobal.com.au.
We recommend that you seek advice from a professional tax agent.

Relationship and associations

Evolution Equities may receive remuneration from entities which may be the subject of articles, reports or recommendations which Evolution Equities provides to its client base.

Other than commercial dealings on an arm’s length basis, Evolution Equities (or any representative or associate) does not maintain any associations or relationships with an issuer of any financial product.

Evolution Equities may arrange for you to be supplied with financial services and products issued by non-related product issuers. Evolution Equities may receive a fee, commission payment, or other form of remuneration, or other benefits from these non-related issuers as a result of you investing in one of their products or services. These relationships in no way influence the provision of financial services by Evolution Equities to you.

Evolution Equities, its representatives and associates, do not maintain any associations or relationships that might reasonably be expected to be capable of influencing Evolution Equities in providing any of the authorised services.
If you have a complaint, how it will be dealt with?

If you wish to make a complaint, the Director, Stephen Silver can be contacted on [insert phone number] or at [insert email address] [ can be generic phone number and email address]. You may also choose to contact the licensee – Amplus Global, whose details are disclosed above.

Evolution Equities has a formalised client complaint resolution procedure. All complaints are reviewed and investigated by our Compliance Officer. 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.

If, despite our best efforts, you believe your complaint has not been satisfactorily dealt with, we offer clients the use of an independent industry arbiter, namely, Australian Financial Complaints Authority (“AFCA”).

You can contact AFCA by writing to:
Australian Financial Complaints Authority
GPO Box 3
Melbourne VIC 3001
Toll Free: 1800 931 678
Website: www.afca.org.au

The AFCA website also permits you to register or lodge a dispute online.

Professional Indemnity Insurance
Our compensation arrangements comply with the legal requirements set out in Section 912B of the Act and ASIC Regulatory Guide 126. As required, we maintain professional indemnity insurance coverage in relation to the financial products and services we provide. Our coverage includes any claims in relation to the conduct of present and former representatives and/or employees.
For what purpose do we use your contact data?

Privacy is an important use 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, training and education requirements and the provision of product advice to clients.

How you can contact us?

Telephone: (02) 8379 2966
Address: Level 10, 23 Hunter Street
Sydney NSW 2000
Web: www.eveq.com
Email: info@eveq.com