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Financial Services Guide

Last updated: 7 January 2019

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The associations or relationships between us and any related persons and issuers of financial products that might influence how we provide financial services

If a client is introduced to Rivkin Securities by an Australian Financial Services Licensee, Rivkin Securities may provide a one-off fee and/or percentage commission of client revenue to that licensee. This fee could be up to 50% of the commission paid. If the commission paid is $100, the fee could be $50. If Rivkin Securities introduces a client to an Australian Financial Services Licensee, Rivkin Securities may receive a one-off fee and/or percentage of commission of client revenue from that licensee.

Employees

Our Advisors are remunerated on a base salary and may receive a discretionary bonus and other rewards for the financial services they provide and referrals they make. In addition, they can receive between 0% and 100% of all fees and charges generated from a client introduced by them to Rivkin Securities. The quantum of these additional payments will usually depend on the performance of employees against predetermined business objectives.

How complaints against us are dealt with

If you have a complaint or concern, you should contact us on + 61 2 8302 3650 or by email on concerns@rivkin.com.au. We will acknowledge receipt of the complaint and aim to respond to all matters within 30 days however we must give you a final response within 45 days of receiving your complaint. If your complaint or concern has not been resolved satisfactorily, you may wish to contact the independent industry arbiter, the Australian Financial Complaints Authority (AFCA). The contact details for AFCA are as follows:

Telephone number 1800 931 678

Website: https://www.afca.org.au/

Compensation arrangements/Professional indemnity insurance

Rivkin Securities has Professional Indemnity insurance in place, which Rivkin Securities considers is adequate to meet the requirements of Section 912B of the Corporations Act to support its obligations in relation to compensation. This includes conduct of current and former representatives and employees.

Privacy

For information of how we use and disclose your personal information, collected from you to ensure we are able to give you advice, please refer to our privacy policy on our website referred to below.

Contact details

Rivkin Securities Pty Ltd

Suite 8, 1 Kings Cross Road

Rushcutters Bay, New South Wales 2011

PO Box 1524

Double Bay, New South Wales 1360

Telephone number + 61 2 8302 3650 Facsimile +61 2 8302 3601

Email: concerns@rivkin.com.au

Website: www.rivkin.com.au