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Financial Services Guide

AFS Licence No: 226347

Updated January 2017

This Financial Services Guide (FSG) is an important document which Wealth Within (‘Wealth Within Limited ACN 088 389 913', ‘Wealth Within Institute Pty Ltd’ ACN 116 394 837 'we', 'our' or 'us') is required to give to retail clients as an Australian Financial Services Licensee. This FSG is intended to inform you of certain matters relating to our relationship to assist you in deciding whether to use any of the services Wealth Within is authorised to provide. The matters covered by this FSG include:

  • Who is Wealth Within and how can we be contacted,
  • What services and types of products is Wealth Within authorised to provide to you,
  • How Wealth Within and other relevant parties are remunerated,
  • How we will deal with your personal information, and
  • Details of Wealth Within’s internal and external dispute resolution procedures and how you can access them.

Who we are

Wealth Within Limited is the responsible entity for the Direct Equity Managed Account Service and Global One, a managed investment scheme and an IDPS-like scheme registered with the Australian Securities and Investment Commission. Wealth Within Investment Management is a leading boutique investment company with specialist expertise in Australian equities while the Wealth Within Institute is a specialist education provider in the financial services industry offering professionally accredited courses in the share market.

How can you contact us?

You can contact us by:

  • Calling Wealth Within’s investor relations services team on 1300 858 272
  • Visiting our website www.wealthwithin.com.au
  • Writing to us at P.O. Box 1095G, Balwyn North VIC 3104
  • Emailing us at info@wealthwithin.com.au

What financial products and services are we authorised to provide?

Wealth Within is currently authorised to:

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

  • Deposit and payment products;
  • Derivatives;
  • Interests in managed investment schemes including investor directed portfolio services;
  • Retirement savings accounts ("RSA");
  • Securities;
  • Superannuation; and
  • Standard margin lending

Deal in a financial product by:

  • Issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
    • Derivatives, and
    • Interests in managed investment schemes limited to own managed investment scheme only; and
  • Applying for, acquiring varying or disposing of a financial product on behalf of another in respect of the following:
    • Deposit and payment products;
    • Derivatives;
    • Life products limited to:
      • life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
    • Interests in managed investment schemes including investor directed portfolio services;
    • Retirement savings accounts ('RSA');
    • Securities;
    • Superannuation; and
    • Standard margin lending.

Operate the following kinds of registered managed investment schemes in its capacity as a responsible entity:

  • 'Direct Equity Managed Account Service scheme (ARSN: 134 092 201),
    • a scheme which only holds financial assets; and
  • "Global One" scheme (ARSN: 153 394 597),
    • an IDPS-like scheme which only holds derivatives and financial assets

to retail and wholesale clients.

General advice warning

Any financial product advice we provide is general advice only and does not take into account your personal objectives, financial situation or needs.

Before acting on any such general advice, you should consider the appropriateness of the advice having regard to your situation. We recommend you obtain independent financial, legal and taxation advice before making any financial investment decision.

Remuneration

Wealth Within does not receive fees in respect of any financial product advice it may provide to retail clients.

If you invest in a product we offer, Wealth Within will receive remuneration in relation to your investment in the product. The remuneration we will receive is set out in the PDS for the particular product.

Wealth Within may receive fees from service providers if you invest in a product we offer. We may also be entitled to remuneration from financial institutions (including banks) that provide certain services to us. This remuneration may be in the form of a rebate and incorporated into the interest rate applicable to investments in those services These fees vary and are available upon request.

What commissions, fees or other benefits are received?

Wealth Within staff receive a salary. Wealth Within staff may also receive benefits based upon bonuses or a proportion of the fees charged by Wealth Within having regard to standards of service to clients and feedback from them, the level of revenue they generate and reaching a range of personal performance targets.

Personal information

The privacy of your personal information is important to us. All personal information is dealt with in accordance with our Privacy Policy. Our Privacy Policy details how we comply with the Privacy Act in the handling of your personal information. You can obtain a copy of our Privacy Policy by clicking here or by calling Wealth Within directly.

Complaint resolution procedures

As part of its commitment to customer service Wealth Within has in place a complaints handling procedure consistent with the Australian Standard.

If you have a complaint about any of the services provided to you then you should take the following steps:

1. Contact the Wealth Within Compliance department on 1300 858 272 or Melbourne direct on 9290 9999 and tell us about your complaint.

2. If your complaint is not satisfactorily resolved within 3 business days, please put your complaint in writing and send it to:

The Compliance Manager
Wealth Within Ltd
P.O. Box 1095G,
Balwyn North VIC 3104

We will attempt to resolve your complaint quickly and fairly. If the complaint is not resolved internally to your satisfaction within 45 days then you are entitled to refer the complaint to the Financial Ombudsman Service of which Wealth Within is a Member, the contact details of which are as follows:

Financial Ombudsman Service
GPO Box 3
Melbourne VIC 3001

Telephone: 1300 780 808
Facsimile: (03) 9613 6399
Email: info@fos.org.au

ASIC also provides a free info-line service on 1300 300 630.

Compensation arrangements

Wealth Within has in place professional indemnity insurance that satisfies the Corporations Act and which covers the financial services detailed in this FSG where provided by our authorised employees (including the conduct of those authorised employees who are no longer authorised by Wealth Within but were so at the time of the relevant conduct).

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