Financial Services Guide – MSC Certane

Introduction

This Financial Services Guide (FSG) is issued by Certane SPV Management Pty Ltd ACN 088 261 349 (‘MSC Certane SPV’, ‘we’, ‘us’) on 2 August 2024. Certane SPV is a corporate authorised representative (Authorised Representative Number 001289138) of Certane CT Pty Ltd ACN 106 424 068 (‘MSC Certane’) under Australia Financial Services Licence Number 258829.

Effective of 12 January 2024, Certane CT is wholly owned by MSC Group Australia Pty Ltd ACN 609 538 749 (‘MSC Group Australia’).

The purpose of the FSG is to provide information to assist you in deciding whether to use any of the financial services we offer. This FSG provides information about:

  • who we are
  • by whom we are authorised
  • the financial services and products you can receive
  • how we (and our associates) are paid and any conflicts that may exist
  • how to get information and give instructions
  • how we protect your personal information
  • how you can make a complaint about us, and
  • what we can do and what we expect from you.

Note: Only for use in connection with nominee services provided for employee or executive share or equity participation or incentive plans in which you participate (relevant Share Plan) established by the issuer of the shares or other equity participation rights (relevant Company) and of which MSC Certane is the trustee.

MSC Certane SPV is authorised as a corporate authorised representative of MSC Certane to operate custodial and depository services (other than investor directed portfolio services) under Australia Financial Services Licence Number 258829.

We act as nominee on your behalf under the arrangements notified to you by Boardroom Pty Ltd ACN 003 209 836 (the ‘Administrator’). The terms of our engagement as nominee are provided in the Terms and Conditions of the Nominee Service for the relevant Share Plan, a copy of which has been provided to you. The financial services provided to you will be provided directly by us.

How you give instructions

Generally, you will give your instructions through the Administrator in accordance the rules of the relevant Share Plan. The Administrator’s contact details are as follows:

However, if you have any concerns regarding those instructions, you are welcome to contact MSC Certane SPV directly.

What we expect from you

We will expect that you will act in accordance with the rules of the relevant Share Plan and the Nominee Agreement, as either may be amended from time to time.

Other documents you may receive from MSC Certane SPV

Updated FSG

If we update or replace this FSG, we will provide you (or your agent) with a copy before we provide you with any further financial services.

Other FSGs

This FSG relates only to the financial services we will provide you in acting as your nominee under the relevant Share Plan. If we provide you with any financial services in any other capacity, we will provide you with a separate financial services guide relating to those other services.

Other documents

You will also receive other communications from us through Boardroom Pty Limited ABN 14 003 209 836, the Administrator of the relevant Share Plan.

We will be paid by MSC Certane under the Corporate Authorised Representative Agreement between us and MSC Certane. MSC Certane will be paid by the relevant Company under an agreement it has with that Company for authorising us to act as nominee under the relevant Share Plans.

You are not required to make any payment to MSC Certane SPV in respect of the financial services described in this FSG or in relation to the relevant Share Plan. We will be paid an annual fee for acting as nominee for you and other participants in respect of the relevant Share Plan by Certane CT, which will be paid by the relevant Company. The fee is a flat fee of approximately A$8,000.00- $12,000.00 (plus GST) per annum payable quarterly in arrears. The fee may be changed from time to time with the agreement of the relevant Company and Certane CT.

If you have a complaint about MSC Certane SPV, or any of the services it provides, or service provided by an officeholder or staff member of MSC Certane SPV, you should first contact the Administrator.

If the complaint is not satisfactorily resolved by the Administrator within 2 business days after making the complaint, you should contact us at the following address:

  • Complaints Manager
  • Certane SPV Management Pty Ltd
  • Address: Level 2, 395 Collins Street
    Melbourne VIC 3000, Australia
  • Phone 1300 798 790 or +61 3 9050 2000
  • Email: complaints@msc.group

When your complaint is received by us it will be entered into our complaints database. All details of the complaint will be sent to our Complaints Officer who will investigate the circumstances of the complaint.

If our Complaints Officer is unable to reach a satisfactory resolution of the complaint within 45 business days after receipt (or 90 days where we inform you more time is required), you may contact the Australian Financial Complaints Authority, of which we are a member, at the following address:

  • Australian Financial Complaints Authority
  • Website: www.afca.org.au
  • Phone 1800 931 678
  • Email: info@afca.org.au
  • In writing to: Australian Financial Complaints Authority
    GPO Box 3 Melbourne VIC 3001

Notwithstanding, should you feel that your complaint has not been adequately handled to your satisfaction, you can lodge a complaint with the Australian Financial Complaints Authority (AFCA), of which MSC Certane SPV is a member (No. 11967).

The ASIC website contains information on complaints about companies and individuals and describe the different types of complaints handled by ASIC. To obtain further information you can access the ASIC information resources through the details below.

We maintain professional indemnity insurance in accordance with the law. Our professional indemnity insurance, subject to its terms and conditions, provides indemnity up to the sum insured in respect of our authorisations and obligations under our AFSL.

We keep a record of all information provided to us by you, the Administrator or the relevant Company in relation to the Share Plan. We will ensure the privacy and security of your personal information in accordance with our Privacy Policy, a copy of which is available on request.

Before MSC Certane SPV engages in any activities, we will consider whether they will give rise to a conflict of interest in respect of any instructions you give. In doing so, we (and any of our related parties corporate providing any associated services) will apply our Conflicts of Interest Policy to manage any perceived or actual conflict of interest.

If you have any further questions about the financial services we provide, please refer to the contact details below:

MSC Group Australia Pty Ltd Certane SPV Management Pty Ltd
Address: Level 2, 395 Collins Street
Melbourne VIC 3000
Address: Level 6, 80 Clarence Street
Sydney NSW 2000
Telephone: 1300 798 790 Telephone: 1300 798 790
Email: info@msc.group Email: ct@msc.group