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Financial services guide (FSG)

Issued by: SG Hiscock & Company Ltd (ABN: 51 097 263 628)
Australian Financial Services Licence No: 240679
Issue Date: 23 May 2016

The purpose of this Financial Services Guide (FSG)

This FSG is issued by SG Hiscock & Company Ltd (SGH) and is to help you understand the services SGH can provide to you.

This FSG also describes how SGH is remunerated, any potential conflicts of interest we may have and how you can make a complaint about the services you have received from SGH.

SGH and its representatives are only permitted to provide general advice to either wholesale or retail persons.     Such advice is make without taking into account the objectives, financial situation or needs of such persons.   Accordingly, you need to consider the appropriateness of the advice, in light of your own objectives, financial situation or needs before acting on the general advice provided.

General advice provided may refer to securities or managed investments. You should make your own enquiries in relation to securities mentioned and in the case of managed investments, you should obtain a Product Disclosure Statement (PDS) relating to that product and consider the PDS before making any decision about whether to acquire the product.

Who is SGH?

SGH is a boutique investment manager, established in August 2001 and is 100% owned by its staff. The highly experienced principals were formerly employed at National Asset Management Limited, a subsidiary of National Australia Bank. The team has worked together for a number of years.

Services offered by SGH

SGH has an “active” investment management approach for funds for which it has been appointed to as the Investment Manager. SGH’s appointment is through Investment Mandates with Responsible Entities to whom it provides investment services.

SGH is authorised under its Australian Financial Services Licence to deal in a number of financial products in relation to wholesale clients.   It is authorised to provide general financial product advice to both wholesale and retail persons in relation to:

  • Derivatives
  • managed investment schemes, excluding Investor Directed Portfolio Services
  • Securities

Remuneration and other Benefits

SGH receives remuneration from Responsible Entities who have appointed SGH under an Investment Mandate to provide investment management services.

Staff are remunerated through salary and bonuses and also as a result of being shareholders SGH may receive dividends.

Use of information

SGH may only provide general advice and as a result it is unlikely that you disclose you identity to SGH as distinct to the Responsible Entity through whom you may invest in the funds for which SGH has been appointed as the Investment Manager for.

Should you log into the SGH website, our Internet server may automatically record details about any computer used to access the website (such as the IP address, domain name and browser type), the date and time of access, and details of the information downloaded. This information may be used for internal statistical purposes and to improve this website.

You may request a copy of our Privacy Policy by telephoning our office on 03 9612 4600.

If you have any questions about privacy, please contact our Privacy Officer by writing to:

Privacy Officer
SG Hiscock & Company Ltd
Level 28, 367 Collins Street
Melbourne VIC 3000

How to make a complaint

SGH as an internal review process in relation to all complaints received. SGH aims to resolve any complaint quickly and fairly.

In relation to complaints received from a person defined as a retail investor under the Corporations Act,

Please contact the Complaints Officer with your complaint. You should enclose much detail as possible about your complaint to the names of any employee of SGH involved. In addition, the relevant background documentation should be provided. Your complaint will be acknowledged upon receipt and following a thorough investigation, a written response will be forwarded to you. We will endeavour to do this within 14 days of the complaint.

Address your complaint to:

Complaints Officer
SG Hiscock & Company Ltd
Level 28, 367 Collins Street
Melbourne VIC 3000

If you do not feel that you have received a satisfactory outcome, you have the right to take your complaint in writing to:

Financial Ombudsman Services (FOS)
GPO Box 3
Melbourne VIC 3001
Toll-free: 1300780808
Website: www.fos.org.au

SGH is a member of FOS.

Compensation Arrangements

SGH has in place Professional Indemnity Insurance cover which is considered adequate in regards to the provision of general advice.