This Financial Services Guide (FSG) is dated 13th October, 2023 and replaces all previous versions.
Next Cap Pty Ltd Raise is a Corporate Authorised Representative (1242457) of LeMessurier Securities Pty Ltd (AFSL No. 296877)
LeMessurier Securities Pty Ltd (ACN 111 931 849) (AFSL 296877) authorises the distribution of this FSG.
About this guide
This Financial Services Guide (FSG) is an important document that is designed to tell you about:
- Who we are
- How you can contact us
- The financial services we offer so you can make an informed decision whether to use those services
- Information we need from you
- The cost of our advisory services and how we pay our representatives
- What to do if you have a complaint about our services
If you need further information on any of these matters, please email [email protected].
About Us
Next Cap Raise Pty Ltd (ACN 610 173 843) is a Financial Services Company facilitating Advisory Services to Australian domiciled Retail and Wholesale clients in securities.
Information provided by Next Cap Raise Pty Ltd is General Financial Product advice only and is prepared without taking account of any of your objectives, financial situation or needs.
You should consider seeking the advice of relevant taxation, superannuation, and/or other relevant advisors before the information is acted on.
We will not provide advice on classes of financial products other than those identified in Next Cap Raise Pty Ltd authorisations through the Licensee, Lemessurier Securities Pty Ltd (AFSL 418504).
The licensee is ultimately responsible for the advice provided and services offered to clients of Next Cap Raise Pty Ltd.
Next Cap Raise Pty Ltd is not a registered tax agent and any reference to tax is incidental and must be confirmed with a registered tax agent.
Articles may be posted on our website to assist clients with their trading needs.
The articles contain general trade recommendations, listed and unlisted company profiles and educational information.
Clients need to analyse and adjust the general trading advice to their own situation.
What are our authorisations
Next Cap Raise Pty Ltd is authorised to provide general financial product advice on the following products:
- Securities
Next Cap Raise Pty Ltd is authorised to provide these advisory services to retail and wholesale clients within Australia.
Who is your advisor?
Next Cap Raise Pty Ltd is your Adviser and is a Corporate Authorised Representative (No.1242457) of Lemessurier Securities Pty Ltd (AFSL 418504).
To obtain services from us
If you do not have a nominated advisor, you can contact us at:
Level 4
152 Elizabeth St
Melbourne VIC 3000
Email: [email protected]
As the Licensee, LeMessurier Securities Pty Ltd is responsible for the advice you receive from us.
If your advisor is unable or unwilling to provide you with advice or services in respect of certain products, the advisor will refer you to another representative of LeMessurier Securities Pty Ltd, who should be able to assist you.
General financial advice
We will only offer you General Financial Product Advice.
You should note that general financial advice does not relate specifically to you and therefore may not be appropriate to your particular financial needs, objectives and financial circumstances.
You need to take this into account before deciding whether or not to act on it.
What do we expect from you?
We expect that you will provide us with accurate information that we request so that we have a reasonable basis on which to provide you with general advice.
We expect that you will use our advice to enable you to make informed financial decisions.
What are the possible consequences of not providing this information?
You are of course at liberty to decline to provide some or all of this information, but if you do not provide it, any recommendations we make may not be appropriate to your needs and objectives.
In certain cases, your failure to provide information may place us in a position where we cannot provide any advice or any financial services to you.
Privacy
We are committed to implementing and promoting a privacy policy which will ensure the privacy and security of your personal information. A copy of our privacy policy can be found here.
How are we paid for the services we provide?
Next Cap Raise Pty Ltd fees are generated from services it provides companies who pay for digital promotion of capital raises.
What fees, commissions or other benefits?
Employees of Next Cap Raise Pty Ltd are remunerated in a variety of ways including salary, wages and bonuses.
Do any relationships exist which might influence the service or advice I receive?
Next Cap Raise Pty Ltd is remunerated by providing a website facility which allows listed and unlisted companies and Advisers to raise capital.
Next Cap Raise is a wholly owned subsidiary of S3 Consortium Pty Ltd.
S3 Consortium Pty Ltd fees are generated from the services it provides companies who pay for investor relations, content production and content distribution services.
Our advisors are aware of their obligations to disclose the extent and nature of any relationship that may influence their decisions at the time the advisors provide a financial service in related products.
A full list of products provided is available by calling Lemessurier Securities Pty Ltd on 1300 523 753 or email [email protected]
Will you give me advice that is suitable to my investment needs and financial circumstances?
No.
What should I know about any of the risks of the investment recommendations made to me?
Next Cap Raise Pty Ltd are authorised by Lemessurier Securities Pty Ltd to provide general financial product advice only.
General advice includes information contained on our website and email articles.
The information provided on our website and emails does not provide advice about products suitable for your particular needs, objectives or financial circumstances, even if we may have commented in view of the current or future market conditions or prospects for the securities.
This information does not constitute personal investment advice and it has been prepared without taking into account your objectives, financial situation or needs.
You should always consider the appropriateness of the advice, in light of your own objectives, financial situation or needs before acting on the advice.
You should consider and discuss this information with your financial adviser before making your own investment choice.
What information do you maintain in my file and can I examine my file?
We need to hold all the information you give us for a period of 7 years. Yes you can view information held by making a request.
How can I give you instructions regarding my account?
Via email [email protected].
What kind of compensation arrangements are in place and are these arrangements compliant?
Next Cap Raise Pty Ltd has arrangements in place through Lemessurier Securities Pty Ltd to ensure that it continues to maintain Professional Indemnity Insurance in accordance with Section 912 B of the Corporations Act 2001, (as amended).
In particular the Professional Indemnity Insurance, subject to its terms and conditions, provides indemnity up to the sum insured for the Licensee and its authorised representatives in respect of our authorisations and obligations under the Australian Financial Services License.
What should I do if I have a complaint?
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 a complaint about the service provided to you, please contact your Next Cap Raise Pty Ltd advisor immediately via email [email protected].
If your complaint is not satisfactorily resolved within 7 days please contact Next Cap Raise Pty Ltd’s authorising licensee LeMessurier Securities Pty Ltd on (02) 8278 9541 or by email at [email protected].
If we cannot reach a satisfactory resolution within a further 45 days, you can raise your concerns with the Credit and Investments Ombudsman on 1800 138 422 or visit the website www.cio.org.au.
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.