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Phoenix Advisory FSG-Version-1.2 9th March 2022pdf
Phoenix Advisory FSG-Version-1.2 9th March 2022pdf
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 1. 
    Financial Services GuideVersion1.29thMarch, 2022Phoenix Advisory Group Pty
    Ltd ABN 23 655 534 900 Address 9/17 Karp Ct, BUNDALL QLD4217P: 07 5551
    9254W: www.phoenixadvisorygroup.com.auE:
    christian@phoenixadvisorygroup.com.auCorporateAuthorised Representative
    (ARNo.1295623)ofMaven CapitalPtyLtd (AFSL418504)5/5 Executive DrBURLEIGH
    WATERS QLD 422OPH: 07 5507 7721 –W: www.mavencapital.com.auE:
    compliance@mavencapital.com.au
    
 2. 
    Financial Services GuidePhoenix Advisory Group Pty Ltd Financial Services
    Guide Version 1.2–9thMarch, 2022Phoenix Advisory GroupPty Ltd ACN 655 534
    9009/17Karp Ct BUNDALL QLD 4217Phone: 07 5551
    9254www.phoenixadvisorygroup.com.auEmail:
    christian@phoenixadvisorygroup.com.auCorporate Authorised Representative
    (CAR 1295623) ofMaven Capital Pty LtdACN 152 426 554 AFSL 418504Unit 5, 5
    Executive Drive,Burleigh Waters QLD 4220Phone: 07 5507
    7721www.mavencapital.com.auEmail: compliance@mavencapital.com.auThroughout
    this Financial Services Guide, Phoenix Advisory GroupPty Ltd isreferred to
    as “Phoenix”, “Phoenix Advisory”“we”, “us”, “our” or any such variations.
    Maven Capital Pty Ltd is referred to as “Maven Capital” or “Maven”.This
    Financial Services Guide (FSG) is dated 9thMarch, 2022and replaces all
    previous versions. Maven Capital Pty Ltd ACN 152 426 554 authorises the
    distribution of this FSG for Phoenix Advisory GroupPty Ltd.We are required
    to provide an FSG to you before we provide any Financial Service.The FSG
    containsimportant information about various fees and charges that may be
    payable by you to us, payments we may receive from product providers or
    payments we make to third parties, when we provide you with a financial
    service or product.It also contains information about what you should do if
    you have a complaint or dispute in connection with our provision of those
    services.You should read this document, ensure you understand what it means
    for you and retain a copy for your records. If you have any concerns or
    questions please let us know.The purpose of this FSG is to inform you of the
    financial services provided by us and to comply with our licensee’s (Maven
    Capital) obligations as the holder of an Australian Financial services
    Licence (AFSL 418504).The section headed “Who is my Adviser” may be dated a
    later date than the body of thisFSG, because that section may relate to the
    activities of a particular adviser.Lack of independencePhoenix Advisory
    GroupPty Ltd is a Corporate Authorised Representative of Maven Capital Pty
    Ltd.Both bodies are deemed not to be independent because Maven Capital or
    its Authorised Representatives may receive:commissions on the sale of life
    risk insurance products commissions on share trades
    
 3. 
    Phoenix Advisory Group Pty Ltd Financial Services Guide Version
    1.2–9thMarch, 2022A b o u t T h i s Gu i d eThis Financial Services Guide
    (FSG) is an important document that is designed to tell you about:•Who we
    are.•The financial services we offer so you can make an informed decision
    whether to use those services.• How to Contact Us.• Who My Adviser Is.•What
    is My Adviser Able to Provide.• What is General Financial Advice.•What is
    Personal Financial Advice.•Documents you may receive from us, including
    Product Disclosure Statements.•Information We Need From You and how we use
    your personal information and your privacy.•What remuneration and other
    benefits may be paid to us, our employees or others.•How You Can Engage Our
    Service.•Our Associations that you need to know about.•What to do if you
    have a complaint about our services.•Professional Indemnity Insurance.If you
    need further information on any of these matters, please ask.Who We
    ArePhoenixAdvisory GroupPty Ltd from here on referred to as “Phoenix
    Advisory” is an investment and financial advisory firmspecialising in
    Superannuation and Life Risk Insurance. Our advisers’ record of achievement
    and reliability is based on providing some of the best investment and
    financial advice in Australia. We offer extensive skills which mirror the
    different needs of clients, with great emphasis placed on research to
    support the advice and the products provided.PhoenixAdvisoryis a Corporate
    Authorised Representative (CAR No.1295623) of Maven Capital Pty Ltd, holder
    of Australian Financial Services Licence (AFSL 418504) and is authorised to
    provide financial services under this licence.Who is Maven Capital Pty
    LtdMaven Capital is an Australian Financial Services Licence Holder (AFSL
    418504). Under this licence Maven Capital has the ability to authorise
    advisers and advisory firms to operate financial services businesses. Maven
    Capital can authorise individuals and businesses who it views as meeting
    certain strict educational, experience and competency requirements as
    described under law, to provide financial product advice and deal in the
    followingfinancial productsunder its licence:•Deposit and Payment Products
    (including, term deposits & savings accounts)Derivatives •Government
    Debentures (including Australian & international)•Life Products (including
    Investment Life products, Life Insurance Products including TPD, income
    protection & trauma)•Interests in Managed Investment Schemes (including
    managed funds, IDPS)•Retirement Savings Accounts•Securities •Superannuation
    
 4. 
    Phoenix Advisory Group Pty Ltd Financial Services Guide Version
    1.2–9thMarch, 2022Who Is My Adviser?Maven Capital authorises Corporate
    Authorised Representatives (Companies) and Authorised Representatives
    (Individuals) to provide financial services. As the Licensee, Maven Capital
    is responsible for the advice you receive from us and our advisers. Phoenix
    Advisoryadvisers are only able to provide products that appear on the Maven
    Capital Approved Product List which can be obtained by calling our office on
    07 5507 7721 or emailing compliance@mavencapital.com.auThe Details of your
    Corporate Authorised Representative can be found in this section of this
    FSG. This is where we will let you know the Name, Corporate Authorised
    Representative Number, Contact Details, Website and Authorisations. Name:
    Phoenix AdvisoryPty Ltd Date: 9thMarch, 2021ABN: 23 655 534 900Corporate
    Authorised Representative No. 1295623authorised by Maven Capital Pty LtdWhat
    is My Adviser Able to Provide?Phoenix Advisory GroupPty Ltdis authorised by
    Maven Capital to provide financial product advice and deal by applying for,
    acquiring, varying or disposing of a financial product on behalf of another
    person in respect of the following classes of products:•deposit and payment
    products;•debentures, stocks or bonds issued or proposed to be issued by a
    government;•life insurance products•interests in managed investment schemes
    including investor directed portfolio services;•retirement savings accounts
    ("RSA") products (within the meaning of the Retirement Savings Account Act
    1997);•securities; and•superannuationThe details of your nominated adviser
    can be found as an attachment to this FSG (Adviser Profile), where we
    outline the adviser’s contact details together withthe training, education,
    experience and authorisations for that adviser. All Individual Authorised
    Representatives have met the educational and regulatory requirements to be a
    financial adviser.Your adviser may have arrangements with associates or
    third parties that introduce clients in need of financial product assistance
    or advice, those associates may receive a fee for introducing this business.
    Your adviser will provide list oftheseArrangements and disclose any fee
    arrangements.
    
 5. 
    Phoenix Advisory Group Pty Ltd Financial Services Guide Version
    1.2–9thMarch, 2022General FinancialAdviceThere may be times where Phoenix
    Advisoryoffers you general financial advice. You should note that general
    financial advice does not relate specifically to you and therefore may not
    be appropriate to yourparticular financial needs, objectives and financial
    circumstances.You need to take this into account before deciding whether or
    not to act on it, it is recommended that you seek expert personal advice
    before acting.Personal Financial AdvicePhoenix Advisoryand Maven Capital
    recommend that you should always seek the advice of a qualified Financial
    Adviser. If we provide you with personal financial advice your initial
    discussions with a Financial Adviser should be treated as a Fact Find and
    you may be required to complete a questionnaire that includes personal
    information (You can obtain a copy of the Maven Capital Privacy Policy by
    calling 07 5507 7721 or emailing compliance@mavencapital.com.au). This is
    important as every situation is unique to the individual and the advice you
    receive should be tailored to your specific needs and at all times be in
    your best interest.This information will allow your planner to prepare a
    Statement of Advice (“SoA”) which you will receive at the time or as soon as
    is practical after the advice is given. This statement will set out the
    advice, why we believe the advice is in your best interests and any
    remuneration or other benefit that we, your financial adviser and
    associates, may receive. We will also include details of any matter that
    might reasonably be expected to be capable of influencing us in providing
    this advice.If you maintain a personal advice relationship with us,
    generally we will not provide aSoA for further advice situations unless
    there have been significant changes to either your personal circumstances or
    the basis of the advice since your last SoA was provided. In these
    circumstances however, we are still required to keep a Record of Advice
    (“RoA”). You have the right to request a copy of the RoA at any time.We are
    required by law to provide you with a statement of the services provided to
    you in the previous 12 month period. This will occur on the anniversary of
    the last Fee Disclosure Statement you received or the anniversary of the
    date you opened your account. This statement will include the Services that
    we contracted to provide, the Actual Services that were providedand the Fees
    we charged you over this period.This statement will also request your
    written consent for us to deduct fees for the coming 12 month period and
    include what those fees will be (or a close estimate).Documents You May
    Receive From UsAs well as providing you with a Financial Services Guide
    (FSG), you may also receive a Statement of Advice (SoA), a Fee Disclosure
    Statement (annually), an annual consent form for us to continue to provide
    you with financial services and confirmwhat our fees will be for the coming
    year.Where appropriate, a Product Disclosure Statement will be issued by the
    product provider containing information you would reasonably require to make
    a decision about whether to acquire the financial product. ThePDS will
    disclose details of any fees and charges payable for that product.
    
 6. 
    Phoenix Advisory Group Pty Ltd Financial Services Guide Version
    1.2–9thMarch, 2022Information We Need From YouDepending on the type of
    service being sought, we may ask you to provide certain personal information
    to your adviser, either in writing or verbally. This may involve a quite
    detailed process of both qualitative and quantitative data collection.
    Please ensure that your adviser becomes aware of any changes that may be
    relevant when advice is given in the future.•What Information Do We Retain
    About Clients–We maintain a record of your personal profile which may
    contain details of your objectives, financial situation and needs. We
    maintain records of any recommendations made to you, together with summaries
    of meetings and transactions. All these records are our property and must be
    retained for production to the regulatory authorities upon their request for
    a period of 7 years. If you wish to examine our file, you should ask us and
    we will make arrangements for you to do so•What Are The Possible
    Consequences Of Not Providing This Information–You are of course at liberty
    to decline to provide some or all of this information, but if you do not
    provide it, any recommendations we make may not be appropriate to your needs
    and objectives.In certain cases, your failure to provide information may
    place us in a position where we cannot provide any advice or any financial
    services to you.•General Advice Warning–When we provide General Advice
    (whether or not we have a record of your personal details), our advice will
    not take into account your personal financial objectives, needs or
    circumstances and may therefore not be appropriate for you. As we indicated
    above, in such circumstances you must determine if our advice is appropriate
    for you.PrivacyPhoenixand Maven Capital value client confidentiality and for
    details of our Privacy Policy and how this relates to your information
    please request a copy by calling Maven Compliance of 07 5507 7721 or email
    on compliance@mavencapital.com.au.AML/CTFAs a financial service provider, we
    have an obligation under the Anti-Money Laundering and Counter Terrorism
    Finance Act to verify your identity and the source of any funds. This means
    that we will ask you to present identification documents such as passportand
    drivers licence. We will also retain copies of this information. We assure
    you that this information will be held as per our Privacy Policy.How Is Your
    Adviser Paid Now and Ongoing? (Fees, Charges, Commissions)We believe the
    services we offer are valuable and the remuneration received is a fair
    reward for our expertise and skills. We are committed to being open about
    any benefits or payments we receive and the costs you will incur for using
    our services.Theamountand how you choosetopay canbeeither a fixed fee,
    commissionoracombination ofthese. Regardlessof your preferred payment
    method, the fee is based on the servicesprovided
    andhowtheyrelatetoyourcircumstances.Youwillbeaskedtoagreetothefeein
    writingbefore we proceed.
    
 7. 
    Phoenix Advisory Group Pty Ltd Financial Services Guide Version
    1.2–9thMarch, 2022On the anniversary of your account opening we will confirm
    the ongoing fees you have paid, what financial services we agreed to provide
    and what you actually received in a Fee Disclosure Statement, at this time
    we will seek your consent to continue to provide you with ongoing advice and
    what our fee will be, or a close estimate where we cannot provide an exact
    figure.All fees,charges orcommissions arepayabletoMaven Capital Pty Ltd as
    the AFS Licensee and willbedisclosed inadvicedocuments provided toyou.Maven
    Capitalwillpassu p t o95%ofthereceiptstoPhoenix AdvisoryPty
    Ltd.Yourfinancialadvisermayreceiveupto100%oftheallocatedcommissionpaidto
    Phoenix AdvisoryPty Ltd or your adviser may receive a fixed salary, this
    will depend on their individual circumstances which will be disclosed to you
    at the time of receiving the advice.Ifyou choose to enter into a fee based
    arrangement,the fee will be negotiated by you and us, and will be agreed in
    writing at the time when your account is opened andagain at your annual
    review. The fee is calculated on a per annum basis and is charged monthly in
    arrears.ThirdPartyPaymentsFrom time to time Phoenix Advisorymay engage
    marketing companies to help us identify clients that would like to receive
    financial advice. Phoenix Advisorypay a fee to these marketing companies for
    this service.Should you be introduced to Phoenix Advisorythrough a marketing
    company we will disclose to you any fees that we pay at the time the advice
    is given.How You Can Engage Our ServicesYoucancontactone of ourFinancial
    Advisersdirectlyor email Phoenix Advisoryto arrange for an initial
    consultation. This initial consultation will usually involve completing a
    fact find so that we may ascertain your financial situation, your goals and
    aspirations and is where you will usually be presented with a copy of this
    FSG.Should you wish to proceed with engaging our services you will be given
    a copy of our Services Agreement which will set out what financial services
    we will provide and what you will be asked to pay for our services should
    you proceed.
    
 8. 
    Phoenix Advisory Group Pty Ltd Financial Services Guide Version
    1.2–9thMarch, 2022Our comprehensive strategic financial advice service is
    where we provide an in-depth analysis of your current financial position,
    financial needs, aims and objectives. It will cover all relevant areas of
    our advisory services. We will assess your tolerance for risk and advise you
    on the most appropriate strategies and structures to ensure that you have
    every chance of securing your financial future.How You Can Instruct UsYou
    caninstruct usin writing, by email or by confirming verbal conversations.
    When we give you a statement of advice or other document, it will include an
    approval to proceed which you will need to sign and return before any action
    can occur.How You CanContactUsYou can find our contact details and those of
    Maven Capital at the beginning of this FSG.Our Associations That You Need To
    Know AboutPhoenix Advisoryis a Corporate Authorised Representative of Maven
    Capital Pty Ltd. Neither Phoenix Advisorynor Maven Capital Pty Ltd are owned
    by any Fund Manager or institution.Our advisers are aware of their
    obligations to disclose the extent and nature of any relationship and any
    other related party and any real or potential conflicts of interest at the
    time the advisors provide a financial service in those products. Our
    Approved Product List is based on Maven Capital’sreview and research of
    availablefinancialproducts. Only thosefinancialproductsthat meet certain
    requirementswill bedeemedsuitable forourclients.A full list of our Approved
    Product List can be provided by calling Maven compliance on 07 5507 7721 or
    email compliance@mavencapital.com.auWhat Should I Do If I Have a Complaint?
    If you have a concern or a complaint about the service provided to you, you
    should take the following steps;1.If your complaint is related to the
    service supplied by Phoenix Advisory, contact usby email at
    christian@phoenixadvisorygroup.com.auor phone on 07 5551 9254.2.If your
    complaint is related to the service supplied by our licensee, Maven Capital,
    contact the compliance officer immediately on
    compliance@mavencapital.com.auor call Maven Capital on 07 5077 7721.Your
    complaint may be submitted by letter, telephone, email or in person to a
    member of staff.We are available to assist complainants who might need
    additional assistance to lodge a complaint. If you require assistance
    lodging your complaint, contact your adviser or Maven Capital.We will try to
    resolve your complaint as quickly as possible, there are times when we may
    be able to do so there and then.
    
 9. 
    Phoenix Advisory Group Pty Ltd Financial Services Guide Version
    1.2–9thMarch, 2022However at other times we will acknowledge receipt of your
    complaint in writing within 24 hours (one business day) or as soon as is
    practicable. At this time we will try to give you an indication of the
    expected time frame toresolve the complaint. Maven Capital can be contacted
    by Phone 07 5507 7721 and email to compliance@mavencapital.com.auWe will
    provide a final response to you in writing no later than 30 calendar days
    after the complaint is received by us.If we cannot reach a satisfactory
    resolution, you can raise your concerns with the Australian Financial
    Complaints Authority (AFCA), this is a free service to resolve complaints by
    consumers and small businesses. Maven Capital is a member of AFCA.AFCA may
    be reached on 1800 931 678 or by lodging your complaint online at
    www.afca.org.auor you can also write to AFCA at:GPO Box 3Melbourne Vic
    3001AustraliaThe Australian Securities and Investments Commission, (ASIC),
    also has a free call info line on 1300 300 630 which you may use to make a
    complaint or obtain information about your rights.Professional
    IndemnityPhoenix and Maven Capital confirm that arrangements are in place to
    ensure it continues to maintain Professional Indemnity insurance in
    accordance with s.912B of the Corporations Act 2001 (as amended). In
    particular our Professional Indemnity insurance, subject to its termsand
    conditions, provides indemnity for Maven Capital and its authorised
    representatives / representatives / employees in respect of its
    authorisations and obligations under its Australian Financial Services
    Licence. The insurance will continue toprovide such coverage for any
    authorised representative / representative / employee who has ceased, for
    work done whilst engaged with us.FeedbackMaven Capital welcomes your
    feedback, if you have a comment about the service you have received or have
    any questions regarding this FSG please let us know via;
    compliance@mavencapital.com.au
    



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