Financial Services Guide

February, 2015

ABN: 106 551 062 AFSL: 252745

What is the Financial Services Guide?

This Financial Services Guide (FSG) is provided by Cadence Asset Management Pty Ltd. The FSG is an important document we are required to give to you under the requirements of our Australian Financial Services Licence.

It contains information about Cadence Asset Management Pty Ltd (CAM) to help you decide whether to use the financial services we provide. It also explains the services and products we are authorised to provide, how we and any of our representatives are remunerated, and includes details of our internal and external complaints handling procedures and how you can access them.

Telephone: +61 2 8298 2444 Facsimile: +61 2 8298 2499 Email:

Who is CAM?

CAM is based in Sydney, NSW and its contact details are:

Level 11, 131 Macquarie Street
Sydney NSW 2000
Telephone: +61 2 8298 2444
Facsimile: +61 2 8298 2499

What financial services and products does CAM offer?

Under its Australian Financial Services Licence 252745, CAM is authorised to offer the following financial services and products to retail and wholesale clients:

  • Provide financial product advice (advice) on deposit and payment products, derivatives, debentures, stocks or bonds issued or proposed to be issued by a government, interests in managed investment schemes excluding investor directed portfolio services, and securities; and
  • Deal in the financial products listed above, and
  • Operate a custodial or depository service other than an investor directed portfolio service.

Does CAM provide personal financial advice to retail clients?

No. CAM, through its representatives, does not provide personal financial advice to retail clients. Any advice provided to you has been prepared without taking into account your objectives, financial situation or needs. You should therefore consider the appropriateness of the advice in light of your own objectives, financial situation or needs, before acting on the advice. If the advice related to the acquisition or possible acquisition of a particular financial product from a product issuer, you should obtain a copy of and consider the prospectus for that product before making any decision.

How will I pay for the service?

CAM will not charge you a fee or commission for any general advice or information provided to you. If you purchase any financial products in relation to which CAM has provided general advice, through a broker or a licensed financial advisor, you may be required to pay fees to those parties.

How are CAM its representative paid?

CAM receives a management fee of between 1% and 1.5%. and a performance fee of 20% from each Fund or listed investment company All representatives are employees of CAM and are paid an annual salary. From time to time employees are paid bonuses, depending on CAM’s overall financial performance.

Representatives of CAM hold direct or indirect interests in some or all of the financial products they provide advice on.

What should you do if you have a complaint?

  1. If you have a complaint about the service provided to you, you should take the following steps:Contact Cadence Asset Management Pty Ltd’s Complaints Officer on +61 2 8298 2444Alternatively you can put your complaint in writing and forward it to:
    The Complaints Officer
    Level 11, 131 Macquarie Street
    Sydney NSW 2000
  2. If you do not obtain a satisfactory outcome, you have the right to complain to the Financial Ombudsman Service: Australian Finacial Complaints Authority (AFCA)
    GPO BOX 3
    Melbourne VIC 3001
    Telephone: 1 800 931 678

CAM is a member of this scheme.

The Australian Securities and Investments Commission also has a freecall infoline on 1300 300 630 which you may use to make a complaint and obtain information about your rights.

For further enquiries please contact:

Karl Siegling, Managing Director
Cadence Asset Management Pty Ltd
Tel: +61 2 8298 2444
Facsimile: +61 2 8298 2499


Receive our FREE Cadence Capital Limited (CDM) Monthly Newsletter

10 Books To Read Before Buying Your Next Stock

10 Books To Read Before Buying Your Next Stock

Funds management involves a lot of synthesis of information and reading. Over the years we all end up reading many investment books and refer to them from time to time.

The team at Cadence has compiled a list of books that have influenced our investment style, or helped provide insight into the investment process.

Whilst not an exhaustive list, the 10 titles contained in this eBook provide a good starting point for any interested investor.

read more