Financial Services Guide

Preparation date: 11 July 2024

This Financial Services Guide (FSG) is an important document. As the provider of financial services to retail clients, we are required to provide you with this FSG. This FSG relates to the services we may provide to you which are regulated as financial services by the Corporations Act 2001 (Corporations Act). It is designed to assist you in deciding whether to use any of the financial services offered by AMS Trading & Investments Pty Ltd (CAN 624 401 332) t/a Enlightened Stock Trading (Enlightened Stock Trading, we or us), a Corporate Authorised Representative (AFS representative Number 001301745) of Quad Code AU Ltd (ACN 131 376 415), the holder of Australian Financial Services License number 327075 (Quadcode).

This FSG provides you with important information about:

who we are
Other documents that you may receive
the types of services and products we can offer you, including the financial product advice you may receive
how you can give us instructions
how we (and other relevant persons) are remunerated for these services and products
compensation arrangements
significant relationships and associations we have
our privacy policy and how we protect your personal information
our complaints handling procedures and how you can use them
records we keep
how you can contact both us and Quadcode.

Quadcode has authorised the distribution of this FSG by Enlightened Stock Trading.

Who We Are

Enlightened Stock Trading is authorised to provide financial services.

What types of financial services and financial products we can provide

Quadcode has authorised us to provide the following financial services with respect to the following financial products to wholesale and retail clients:

1. Provide general financial product advice to retail and wholesale clients for the following classes of financial products:

Foreign Exchange Contracts,
Derivatives,
Securities.

Currently all financial product advice that we provide is general advice. This means we do not take into account any of your individual objectives, financial situation or needs. Before investing in any financial product through our platform, you should consider whether the product is appropriate for you, and you may wish to consult a suitably licensed professional financial adviser.

If you become a customer of ours, you may also receive financial services from other providers and, where relevant, they will separately provide you with their own Financial Services Guides or related other disclosure documents.

How you can give us instructions

Any form of communication is acceptable e.g., by telephone, by email, via website or in person.

Remuneration or other benefits we may receive

We provide the services in accordance with the Legal Terms and Conditions. Our details are available on our website https://enlightenedstocktrading.com/ and the charges payable depend on the financial services that are provided to you.

All fees described in this FSG include GST unless otherwise stated. We will explain all fees payable by you prior to any general financial product advice being offered to you.

Service Fees

The Ultimate Trader Success Bundle – $9899 AUD for the first 6 months then $597 AUD per month
The Trader Success System – $3450 AUD then $597 AUD per month after the 30 day free mentoring trial
The System Trader Launchpad – $1497 AUD
The Crypto Success System – $2997 AUD

Our representatives are remunerated by salary that include bonuses and other benefits and incentives (both monetary and non-monetary) from Enlightened Stock Trading and do not directly receive any commissions or fees. Bonus payments and other benefits are discretionary and are based on achievement of predetermined objectives and may include but are not limited to, business, customer, productivity and risks. Our representatives may also be eligible for indirect benefits including overseas travel or corporate promotion merchandise or similar.

Various members of Quadcode and their directors and employees provide certain financial, information technology, human resource and other services to us to enable us to provide the services described in this FSG. You will not be charged for this. We pay for the costs of providing these services from what we receive.

The information in this section is subject to change and does not include information in relation to the fees, taxes or charges that you may be required to pay in relation to other services that you may be availing.

Third-Party Referrals

Enlightened Stock Trading may enter commercial arrangements with external parties or other financial service providers at its discretion and we may directly or indirectly introduce clients to them who may share a portion of income for such referrals.

Referral Fees

Norgate Data will pay Enlightened Stock Trading a fixed fee between $100 – $300 for each referred client
Metastock will pay Enlightened Stock Trading a 25% commission for all payments received from the referred client
Clemstar Investments will pay Enlightened Stock Trading 50% of the revenue for each referred client

Compensation Arrangements

Quadcode maintains professional indemnity insurance cover in respect of financial services provided to our clients. This insurance covers claims in relation to the conduct of our past and present representatives in respect of any loss or damage suffered by you due to a breach by us of our regulatory obligations. These arrangements comply with the requirements of section 912B of the Corporations Act 2001 (Cth) and 7.6.02AAA of the Corporations Regulations 2001 (Cth).

Details of Associations and Relationships

We have working arrangements with other financial service providers or parties. These entities provide services to Enlightened Stock Trading and/or you to enable us to provide you the financial services.

Disclosure of Relevant Conflicts of Interest

Neither we nor Quadcode have any relationships or associations which might influence us or them in providing you with any of our financial services. Nevertheless, from time to time, we may accept alternative forms of remuneration from product providers or other parties, such as hospitality or support connected with our professional development (e.g. training or sponsorship to attend conferences). We maintain a register detailing any benefit we receive which is valued at between $100 and $300, and other benefits that relate to information technology, software or support provided by a product issuer, or that relate to education and training purposes.

Privacy

Your right to privacy is important to us. When we provide financial services to you, we may need to collect your personal information. Your personal information (including any sensitive information) will be handled in accordance with our Privacy Policy. This policy outlines how the information we collect from you will be used, stored and disclosed consistent with the Privacy Act 1988 (Cth).

Our Privacy Policy is available at Enlightened Stock Trading Privacy Policy

Complaints Handling

Quadcode and Enlightened Stock Trading have established procedures for dealing with complaints which cover the financial services that we provide to retail clients.

If you have a complaint about the financial services we provide, you should first contact us. If you cannot resolve the complaint with us, then you should contact Quadcode. Our contact details and Quadcode’s contact details can be found at the end of this FSG.

We will acknowledge your complaint within 1 business day of receipt. We will investigate complaints with the aim to provide a response (if not a resolution to the complaint) within 30 days.

If you are ultimately dissatisfied with the outcome of your complaint, you may refer the matter, free of charge, to the Australian Financial Complaints Authority (AFCA), which is an external dispute resolution scheme.

The contact details for AFCA are:

Phone: 1800 931 678
Fax: (03) 9613 6399
Email: [email protected]
Mail: Australian Financial Complaints Authority
GPO Box 3
Melbourne VIC 3001
Website: www.afca.org.au

Quadcode is a member of AFCA.

Please note that if you have a complaint about a financial product rather than about our services, then you should contact the relevant product issuer. The PDS for the relevant product will explain how you can do this.

Our Complaints Policy is available here.

Record Keeping

We will seek to ensure that comprehensive and accurate records of all transactions and investments undertaken, and documentation executed, are properly maintained.

Contacting Us

AMS Trading & Investments Pty Ltd t/a Enlightened Stock Trading
Suite 704, 12 Century Cct, Norwest, NSW 2153
Email: [email protected]
Website: https://enlightenedstocktrading.com/

Quad Code AU Ltd (Authorising Licensee)
Level 23, 259 George Street, Sydney NSW 2000
Email: [email protected]
Website: www.quadcodemarkets.com

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