Preparation date: July 2024 Version: 2
The provider of the services described in this Financial Services Guide (FSG) is Australian Automated Trading Software Pty Ltd (ACN: 661 584 112) (AATS, we, us, our) as an Authorised Representative (001301962) of Quad Code AU Ltd (ACN 131 376 415, AFSL 327075), (the Licensee).
This FSG helps you understand and decide if you wish to use the financial services we offer. This FSG has been prepared to provide you with general information about the service we offer.
This FSG is an important document and contains information regarding:
The Licensee is the authorising licensee for the financial services provided to you and is responsible for those services. The Licensee authorises, and is also responsible for, the content and distribution of this FSG.
The Licensee’s contact details are as follows:
Address: L23, 259 George Street, Sydney NSW 2000
Email:compliance.au@quadcodemarkets.com
How to contact Australian Automated Trading Software:
Writing to our Office Address: 30 Oak St, Oak Beach, QLD 4877
Visiting our Website: aats.au
Phone: +61 429 901 930
Email: colin@aats.au
About us and the financial services we are authorised to provide to you
We are authorised to provide general financial product advice in relation to Securities, Derivative and Foreign Exchange Contracts. We are authorised to provide these services and products to both retail and wholesale clients.
Services are provided by qualified employees for and on behalf of Australian Automated Trading Software.
Upon becoming a client of Australian Automated Trading Software, you will have access to online educational material where you will be taught about the financial markets.
We will provide you with general financial product advice through a number of means including:
We will only provide services to you, with your prior, informed consent. If you do not understand any of the information in this FSG, or have any other questions relating to the terms on which we will be acting, please contact us.
In providing our services, other financial matters may arise. However, we are not authorised to provide services in relation to any financial product except those listed in this FSG. You should seek specific advice from the appropriate professionals on other matters relevant to you.
There is an important difference between ‘general advice’ and ‘personal advice’. We provide you with ‘general advice’ which means that we have not considered any of your individual objectives, financial situation and needs. If we provide you with general advice, we will provide you with a warning that the advice may not be appropriate to your needs, financial situation or objectives.
Please retain this FSG for your reference and any future dealings with us. We may also add documents at a later date which will also form part of this FSG, and these should be read together with the FSG. These documents will include the word ‘FSG’ in the heading.
The derivative products we provide general advice on involve risk. A description of the risks associated with each product will be outlined in detail in the relevant Product Disclosure Statement (PDS), which will be provided to you by the product issuer.
You should consider the information contained in the relevant PDS before investing in or trading on any financial market.
Please share a copy of the Client Agreement (referenced in FSG or Terms and Conditions clients accept and agree to as part of the sign-up, for our review.
Fees for providing you with our services may be received by either the Licensee or Australian Automated Trading Software.
All fees described in this FSG include GST unless otherwise stated. We will explain all fees payable by you prior to any general financial product advice being offered to you.
Australian Automated Trading Software has a referral agreement with Eightcap Pty Ltd (AFSL 391441). This means that when a referral of a client has been provided by Australian Automated Trading Software to Eightcap, and the client is deemed to be a Qualified Introduced Client (no minimum balance and volume), Eightcap will pay Australian Automated Trading Software $200 exclusive of GST. This requires your consent during the application process with Eightcap.
From time to time, we may accept alternative forms of remuneration from product providers or other parties, such as hospitality or support connected with our professional development (e.g. training or sponsorship to attend conferences). We maintain a register detailing any benefit we receive which is valued at between $100 and $300, and other benefits that relate to information technology, software or support provided by a product issuer, or that relate to education and training purposes.
If you have a complaint, you can contact us using the details provided in this FSG and discuss your complaint. We will try and resolve your complaint quickly, fairly and within prescribed timeframes.
Alternatively, you can contact our Licensee using any of the contact details provided in this FSG.
If the complaint cannot be resolved to your satisfaction within 30 days, you have the right to refer the matter to the Australian Financial Complaints Authority (“AFCA”). AFCA provides a fair and independent financial services complaint resolution that is free to consumers.
Website: www.afca.org.au
Email: info@afca.org.au
Telephone: 1800 931 678 (free call)
In writing to: Australian Financial Complaints Authority GPO Box 3, Melbourne VIC 3001
You can also contact ASIC on the Freecall Infoline: 1300 300 630. This is another alternative that you may use to make a complaint and obtain information about your rights.
We have arrangements in place to maintain adequate professional indemnity insurance as required by s912B of the Act. This insurance provides cover for claims made against us and our representatives, including claims in relation to the conduct of representatives who no longer work for us but who did so at the time of the relevant conduct.
Your privacy is important to us and we are committed to compliance with the Privacy Act 1988 (Cth) and the Australian Privacy Principles.
We collect your personal information when you:
Please contact us if you have any concerns or if you would like to receive a copy of our Privacy Policy.
