61 金融信息科技股份有限公司 (“61 Financial”, ABN 36 618 439 820)
61 Financial 为Wit Capital Group Pty Ltd（澳洲金融服务牌照 – AFSL: 505077）的公司授权代表（CAR: 001277753）。
本FSG由61金融信息科技股份有限公司ACN 618 439 820（“ 61 Financial” , “我们”）作为WIT Capital Group Pty Ltd（“ WCG”，“授权方“，”持牌方“，“金融牌照持有公司”，ABN：55622536536； AFSL 505077）的公司授权代表（CAR）编写以及发布。本FSG为您解释有关我们提供的金融产品和服务的相关信息，这属于《 2001年公司法》（联邦）（《公司法》）的重要文件和法规要求。该FSG仅包含一般性信息，旨在帮助您决定是否使用我们提供的金融服务。如果您对此FSG有其他疑问，请与我们取得联系。
61 Financial是一家位于墨尔本的公司，经营中英双语的澳股资讯平台，涵盖所有澳交所上市公司。基于可靠全面的市场数据，即时更新的财经资讯，以及广泛活跃的投资者社区，61 Financial的使命是为网站用户提供轻松进入澳大利亚股市的途径，使得投资澳股没有语言障碍。作为联系市场参与者之间的桥梁，61 Financial为机构以及投资者提供服务，扩大上市公司与潜在股东之间的联系。61 Financial同时也是澳洲金融科技协会（FinTech Australia）的公司成员。
61 Financial作为WCG（AFSL 505077）的公司授权代表，为散户以及大额投资者提供证券咨询和交易服务。我们提供：
61 Financial Information Technology Pty Ltd
地址: Suite 19, 40-42 Montclair Ave, Glen Waverley, VIC 3150, Australia
电话: +61 432 555 561
地址: Suite 4, 334 Highbury Road, Mount Waverley VIC 3149 Australia.
电话: +61 3 8577 9666
根据澳洲金融服务牌照（AFSL）的要求，我们需对向您提供的金融服务负责。在我们提供给您的金融服务方面，61 Financial担任WCG（AFSL 505077）的公司授权代表。 61 Financial并不充当就我们向您提供的金融产品所进行的任何交易的交易参与方。相反，我们作为您的代理处理此类金融产品。
61 Financial，其联系人和/或与61 Financial有联系的其他人，可能会持有与我们提供服务的任何金融产品有关的利益、关系、关联或安排。我们可能会向利益与您的利益可能有冲突（采取相反立场）或竞争（例如，买入相同证券）的第三方提供服务。我们不会采取故意偏向于另一方而不是您的立场的行为，反之亦然。
为了向您提供金融服务，61 Financial和我们的授权方（WCG）可能与服务提供商建立相关关系。建立此类关系有助于促进我们提供的金融服务之运营。特别是，Phillip Capital Holdings Pty Ltd为我们提供在线/电子股票交易服务的合作伙伴，麦格理银行为我们提供现金管理帐户（“ CMA”）服务的合作伙伴。 与我们（或与我们的授权方）有此类合作关系的各方可能会更改。如果有此类更改发生时，我们会通知您。
证券和衍生品（如股票和ETO）的交易在我们的第三方券商合作伙伴处进行。在大多数情况下，这些券商合作方会把您在交易证券和衍生品时所支付的费用，如佣金、利息、融资费用、利差等，部分向61 Financial支付。券商合作方最多可以将您支付的交易费用的100％支付给61 Financial。当您买卖国际证券（澳大利亚证券除外）时，第三方的券商合作方所收取的外汇价差不会支付给我们。
当我们推荐证券给您进行投资时，我们可能会从基金管理集团、产品发行人或其他金融服务提供商处收取佣金。根据涉及证券的类型，前期佣金的确切金额可能在0.01％到5％之间变化。 某些产品发行人还需要向我们支付一定的持续费用或尾随佣金，即只要您继续持有该金融产品，该产品发行人就会将此部分的尾随佣金支付给61 Financial。
如果您被另一位金融牌照持有人介绍给61 Financial，则61 Financial可能会与该介绍人分享我们从您的帐户服务中所获得收入的一部分。此类费用或佣金可以是一次性性质，也可以是持续性质。
61 Financial的雇员可通过工资和其他雇员福利获得报酬。我们可根据雇员的个人绩效，业务部门的绩效和/或61 Financial的整体绩效情况，向雇员酌情支付奖金以作为薪酬的一部分。此外，61 Financial的员工还可能获得基于绩效的佣金和/或其他货币性的奖励，这些奖励是参照预定的业务目标或关键绩效指标（KPI）计算所得出的，其中可能包括对公司盈利能力，客户服务，风险管理和市场营销的贡献。
第一步：任何疑虑或投诉应直接发送至Info@61financial.com.au，详细说明投诉的性质，包括所有相关细节，期望可达到的结果以及我们应该如何做到。 61 Financial的客服代表将与您联系讨论此事。
第三步：如果通过我们的持牌方/授权方的内部争议解决流程无法解决您的投诉，您可以免费将您的投诉提交给澳大利亚金融投诉局（AFCA）（WCG的公司会员号码为40883）。您可以通过1800 931 678或通过邮件与AFCA取得联系：
GPO Box 3 Melbourne VIC 3001
另外，其他事宜也可以致电1300 300 630或通过网站www.asic.gov.au咨询行业监管机构 - 澳大利亚证券和投资委员会（ASIC）。
Financial Services Guide
61 Financial Information Technology Pty Ltd (ABN 36 618 439 820)
Corporate Authorised Representative (CAR number: 001277753) of WIT Capital Group Pty Ltd (“WCG”), the holder of Australian Financial Services License (AFSL number: 505077).
Last updated on 1 October 2019
ABOUT THIS FINANCIAL SERVICE GUIDE (“FSG”)
This FSG has been prepared and issued by 61 Financial Technology Pty Ltd (61 Financial) ACN 618 439 820 (“61 Financial”, “we”, “us”, and “our”), as the corporate authorised representative of the WIT Capital Group Pty Ltd (“WCG”, “our licensee”, “the licensee”, ABN: 55 622 536 485; AFSL 505077). This FSG has been prepared to provide you with information about the financial products and services that we offer. It is an important document and a regulatory requirement under the Corporations Act 2001 (Cth) (“Corporations Act”). This FSG contains general information only, it is designed to help you decide whether to use the financial services that we offer. If you have further questions regarding this FSG, please contact us.
The FSG provides information on:
■ Who we are and how you may contact us
■ The financial services that we may provide to you
■ Insurance arrangements
■ Remuneration, fees, and commissions
■ Our dispute resolution scheme
■ How we collect, use and disclose the information you provide to us
Who we are and how you may contact us:
61 Financial is a Melbourne-based company operating a bilingual (English & Chinese) stock market platform covering all ASX-listed companies. Based on comprehensive market data, integrating with daily news and robust investors’ communities, 61 Financial is missioned to provide site users with easy access to Australian stock market. Acting as a bridge to connect market participants, 61 Financial reaches out to a wider group of investors and potential shareholders to accelerate listed companies’ growth and success, by providing opportunities for institutions to establish connections with an extensive audience of affluent investors across the Asia-Pacific region. 61 Financial is also a member of the FinTech Australia.
61 Financial is a corporate authorised representative of WCG (AFSL 505077) and provides advisory and dealing services for securities for both retail and wholesale clients. We offer:
· General financial advice services, including market research reports, industry reports, and stock reports; and
· Dealing services by assisting a client to execute orders for a wide range of deposit products, securities and derivative contracts.
For more information, please visit our website at www.61financial.com.au.
Contact details & how you may instruct us
61 Financial Information Technology Pty Ltd
Address: Suite 19, 40-42 Montclair Ave, Glen Waverley, VIC 3150, Australia
Tel: +61 432 555 561
Client instructions may be provided via phone, email or via any other means as we agree with you.
Our licensee (WCG) can be contacted at:
Address: Suite 4, 334 Highbury Road, Mount Waverley VIC 3149 Australia.
Tel: +61 3 8577 9666
61 Financial is authorised to provide the following financial services to retail and wholesale clients:
· Provide general financial product advice in relation to basic deposit products and deposit products other than basic deposit products, derivatives and securities; such information is generally provided by way of recommendations to buy, hold, or sell;
· Deal by applying for, acquiring, varying or disposing of a financial product on behalf of another person in relation to basic deposit products and deposit products other than basic deposit products, derivatives and securities.
No Personal Advice
Please note that we do NOT provide personal advice which takes into account your individual investment objectives, risk profile, financial situation, or needs at any time. All information provided are considered as general financial product advice. You will need to make your own decision on whether or not to act on the general advice provided.
We recommend you seeking independent advice from a professional financial adviser to ensure you fully understand the risks considering your personal circumstances, prior to making any investment decisions.
Who we act for
We are responsible for the financial services we provide to you under the AFSL. 61 Financial acts as a corporate authorised representative of WCG (AFSL 505077) in relation to the financial services we provide to you. 61 Financial does not act as a principal to any transactions with you in respect of the financial products offered by us. Instead, we will act as your agent in dealing in such financial products.
Other documentation you may receive
You may receive a Client Agreement which governs the relationships you may enter into (e.g. in the process of opening a Cash Management Account or a trading account). You will also receive a Product Disclosure Statement (PDS) and any relevant Terms & Conditions (T&Cs) from a relevant financial product issuer. You must read and understand such PDS and T&Cs prior to making any investment decisions.
Our licensee has a professional indemnity insurance arrangement in place, which satisfies the requirements for compensation arrangements pursuant to section 912B of the Corporations Act. This policy covers claims made against the licensee in relation to professional services provided by the licensee’s representatives, employees, and authorised representatives.
Remuneration, fees, and commissions
When 61 Financial provides financial services to you, certain fees may be charged for providing these financial services. Please note that the fees charged are dependent on the nature of the financial services provided to you.
We will endeavour to explain all fees payable by you prior to any advice or products being offered to you. You can request further particulars of remuneration, fees and commissions we receive by using the contact details provided above.
If you acquire or enter into a financial product we refer you, the provider will charge you costs as set out in their PDS or offer document. In addition, we may receive referral fees from the product issuer/provider.
Our employees receive a salary and may also be entitled to performance-based bonus.
Conflicts of interest
61 Financial, its associates and/or other persons connected with 61 Financial, may have an interest, relationship, association or arrangement that is material in relation to any financial products in relation to which we offer services. We may provide services to third parties whose interests may be in conflict (taking an opposite position) or competition (to acquire the same or similar position) with your interests. We will not act in a way that would deliberately favour the position of another party over you or vice versa.
In addition, 61 Financial may receive commissions from the product issuers we refer you to.
In order to provide the financial services to you, both 61 Financial and our licensee (WCG) may have relationships with various service providers. Such relationships are in place to facilitate the operations of the financial services we provide. In particular, Phillip Capital Holdings Pty Ltd has been engaged to provide online / electronic trading services, and Macquarie Bank Limited has been engaged to provide Cash Management Account (“CMA”) services.
The parties with whom we (or our licensee) have these relationships may change. We will advise you if such change occurs from time to time.
Transactions in securities and derivatives such as shares and ETOs are conducted by our third-party broking partners. In most cases, these broking partners will pay to 61 Financial a portion of the fees, interest, financing, spreads and commissions that are paid by you when dealing in securities and derivatives. Up to 100% of this fee may be paid to 61 Financial. The FX spread charged by the third-party broking partner when you trade in international securities (other than Australian securities) is not paid to us.
Upfront fees and trailing commissions
We may receive commission from fund management groups, product issuers, or other financial service providers when we place investments on your behalf in relation to the securities. The exact amount of upfront commission may vary from 0.01% to 5% depending on the type of securities involved.
Some product issuers also have ongoing fees or trailing commissions which are payable to 61 Financial by the product issuer as long as you hold that financial product.
We may charge you a once-off administration fee in assisting you in preparations of the paperwork / forms in relation to the financial product of your choice. This fee is charged at $200 or 1% of your investment amount (whichever is greater).
Fees and commission paid to third parties
If you are introduced to 61 Financial by another AFS Licensee, 61 Financial may share a percentage of our revenue derived from your account with the referring party. Such fees or commission may be of a one-off nature or an ongoing nature.
If any amount we receive or pay any third parties are considered “conflicted remuneration” under the Corporations Act, then they will only be made with your explicit consent and you are entitled to receive full details regarding such payment upon written request.
61 Financial’s employees are remunerated by way of salary and other employee benefits. A discretionary cash bonus may be paid to employees as part of their remuneration, based on their individual performance, the performance of their business unit and/or 61 Financial as a whole. In addition, 61 Financial’s employees may also earn performance-based commissions and/or other monetary rewards, calculated by reference to predetermined business objectives or Key Performance Indicators (KPI) that may include contribution to company profitability, client service, risk management and marketing.
Our dispute resolution scheme
If you have a complaint about the financial services provided to you, you can follow the steps below for obtaining dispute resolutions available to you.
Step One: Any concerns or complaints should be directed to Info@61financial.com.au, detailing the nature of your complaint, including all relevant details, as well as your desired outcome and how this may occur. A 61 Financial representative will contact you to discuss the matter.
Step Two: If the matter is not resolved to your satisfaction within seven days by talking with our representative, we will apply our internal dispute resolution process to manage your concerns. Under these circumstances, the complaint or concern is escalated to the Complaints Officer of our licensee, WCG, or you may contact them in writing at Info@witcapital.com.au. The Complaints Officer will, on receipt of your written notice:
· Provide a written acknowledgement of your complaint within five (5) business days and indicate a timeframe in which WCG will formally respond to your complaint;
· Consider and investigate the circumstances of your complaint, which may also involve communicating directly with you;
· Notify you in writing of our decision, including the reasons for the decision and any potential remedies, within twenty (20) business days from receipt of your complaint.
If your complaint is not resolved within 20 business days, the Complaints Officer will inform you in writing of the reasons for the delay.
Step Three: If your complaint cannot be resolved to your satisfaction through our licensee’s internal dispute resolution process, you may refer your complaint, free of charge, to the Australian Financial Complaints Authority (AFCA) of which WCG is a member (membership number is 40883). AFCA can be contacted on 1800 931 678 or via mail:
Australian Financial Complaints Authority (AFCA)
GPO Box 3 Melbourne VIC 3001
Please kindly note that before AFCA will deal with your complaint, you must have first lodged a formal complaint with us and our licensee, and given us time to investigate and resolve the dispute.
Alternatively, other matters can be referred to the industry regulator, the Australian Securities and Investments Commission (ASIC) on 1300 300 630 or via the website www.asic.gov.au.
How we collect, use and disclose the information you provide to us
 声明：此中文条款为英文版本（Financial Services Guide）译本，如中、英文两个版本有任何抵触或不相符之处，应以英文版本（Financial Services Guide）为准。