This FSG is designed to provide you with important information prior to subscribing or purchasing our
information, investment research and other financial services. If you need any more information than is
contained in this document, please contact us. You have the right to ask us about our charges, the type of advice
we will provide you, and what you can do if you have a complaint about our services.
Please keep this FSG for future reference. Should you lose it, a copy is available from us on request, or can be
downloaded from our website at www.microequities.com.au. If you do not understand anything in it, or
require more information, please feel free to contact us on (02) 9009 2900.
This Financial Services Guide (FSG) is one of four documents you may be provided by an organisation which
holds an Australian Financial Services Licence (AFSL).
The other documents are:
A Statement of Advice (SOA) which is provided whenever you are provided with any personal advice, which
takes into account your objectives, financial situation and needs. The Statement of Advice will contain the
advice, the basis on which it is given and information about fees, commissions and associations which may have
influenced the provision of the advice.
A Product Disclosure Statement (PDS) is provided in the event you make a decision to acquire a particular
financial product other than securities. This document must contain information about the particular product,
which will enable you to make an informed decision in relation to the purchase of that product.
An Information Memorandum (IM) is provided in the event you are eligible under the Corporations Act 2001
Sections 761G and 761GA and make a decision to acquire a particular financial product other than securities.
This document must contain information about the particular product, which will enable you to make an
informed decision in relation to the purchase of that product.
The IM contains information about the particular financial product to assist you in making an informed decision
about that product.
We highly recommend you consult with a licensed financial adviser before making an investment decision.
Important: Microequities only provides general product advice. We will be providing you with an FSG. If you
are eligible under the Corporation Act 2001 Sections 761G and 761GA you will be provided with an Information
Memorandum. You will also be provided with a PDS in circumstances where general product advice is provided
to you in relation to a retail product where Microequities is the investment manager.
Our company name is Microequities Asset Management Group Limited ACN: 110777056 (“Microequities”,
“Microequities Asset Management”, “we”, “us”, “our”). We are a holder of an Australian Financial Services
Licence, number 287526.
Microequities Asset Management Group Limited
Microequities Asset Management Pty Ltd
Microequities Venture Capital Pty Ltd
Suite 3105, Level 31, Governor Macquarie Tower, 1 Farrer Place
Sydney NSW 2000 Australia
Phone: (02) 9009 2900
Fax: (02) 9475 1156
Email: invest@microequities.com.au
www.microequities.com.au
Microequities are licensed to carry on a financial services business to:
1. This licence authorises the licensee to carry on a
financial services business to:
(a) provide general financial product advice to
wholesale and retail clients for the following
classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) interests in managed investment schemes
excluding investor directed portfolio services;
and
(iii) securities;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or
disposing of a financial product to wholesale
clients and existing retail clients only in
respect of the following classes of financial
products:
(A) interests in managed investment schemes
limited to
(1) own managed investment scheme only; and
(ii) arranging for another person to issue, apply
for, acquire, vary or dispose of a financial
product to wholesale and retail clients in
respect of the following classes of financial
products:
(A) interests in managed investment schemes
excluding investor directed portfolio
services;
(iii) applying for, acquiring, varying or disposing
of a financial product to wholesale and retail
clients on behalf of another person in respect
of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) interests in managed investment schemes
excluding investor directed portfolio
services; and
(C) securities; and
(c) provide the following custodial or depository
services:
(i) operate custodial or depository services other
than investor directed portfolio services;
We currently provide advice through materials and publications on our website. We do not provide any facilities
for buying or selling securities.
Please note that all our publications provide general advice only. This is an important consideration and means
that the advice has not been prepared by taking into account the particular investment objectives, financial
situation and particular needs of any individual investors. It is a general information only. You should assess
whether it is appropriate in light of your own individual investment objectives, financial situation and particular
needs. If necessary, you should consult with a licensed financial adviser before making an investment decision.
We currently operate own managed investment schemes such as the Deep Value Fund, the High Income Value
Microcap Fund and the Global Value Microcap Fund and the Pure Microcap Value Fund as well as other funds
open to eligible clients under the Corporations Act 2001.
Information regarding the fee structure for managed investment schemes (Fund’s) are disclosed in the offer
document (IM or PDS) for each of the respective Fund’s.
All employees of Microequities receive a salary, bonuses and or dividend participation.
Microequities is independent of any financial product provider and value this independence in helping us to
make objective assessments of securities.
Our staff are guided by a code of conduct and disclosure for their own share trading activities. The key elements
of our policy are:
• All Microequities employees must upon joining the company provide a full declaration of interests in securities listed on the ASX.
• All Microequities employees must sign a written code of conduct which outlines current policy of
conflict of interest management.
• Microequities maintains an updated list of all securities that are prohibited from being traded from time
to time. This list is denoted as the restricted securities list and has restrictive trading implications for all
Microequities personnel.
No. Microequities only provides general advice and product information relating to its funds and has no
knowledge of your personal financial history or situation. We recommend that before making an investment
decision, you should consult with a licensed financial adviser to determine if our products and services are
suitable for you.
Microequities only provides general advice and as such is not aware of your personal risk profile or tolerance of
risk. We recommend that before making an investment decision, you should consult with a licensed financial
adviser to determine if our products and services are suitable for you.
The privacy of your personal information is important to us. Federal Privacy legislation regulates the use of your
personal information. Microequities will hold your personal information in a secure manner and will not disclose
it to third parties without your permission. Only information that is necessary in connection with providing you
our services will be requested. In order to fulfil obligations under the Privacy Act, the necessary security
measures have been put in place to minimize the risk of unauthorized access to or loss of personal information.
We collect personal information so that we may provide you with the products and services you request as well
as information on other products and services offered by us.
We may disclose personal information to other parties (confidentiality arrangements apply) for certain purposes
that we outsource, including administration and audit of our financial accounts. Your personal information may
be disclosed to these third parties in such circumstances.
We aim to ensure that the personal information we retain about you is accurate, complete and up to date. If
you provide us with incomplete or inaccurate information, we may not be able to provide you with the
products or services you are seeking. If you have concerns about the completeness or accuracy of the
information we have about you or would like to request access or make an amendment to your information,
simply contact Microequities on (02) 9009 2900.
Complaints resolution is a priority for us. If you have any concerns or complaints with the financial products or
services we provide, please contact us and we will do our best to resolve it quickly and fairly.
As a first step, please contact us by calling Microequities on (02) 9009 2900. Alternatively, you can contact us by
email to the Compliance Officer compliance@microequities.com.au We will let you know when we have
received your complaint and the Compliance Officer will try to resolve your complaint within 14 days.
If you are still not satisfied you can refer the matter to the Australian Financial Complaints Authority (AFCA).
AFCA is independent from Microequities.
Their contact details are:
Australian Financial Complaints Authority
GPO BOX 3
Melbourne VIC 3001
Telephone 1800 931 678 (free call)
www.afca.org.au
We recommend that you try and resolve your concern with us before contacting AFCA.
Interested in investing with us?
Request an Infopack to receive a comprehensive Information Memorandum of each fund.
Suite 3105 Level 31
Governor Macquarie Tower
1 Farrer Place Sydney NSW 2000
Phone: +61 2 9009 2900
E-mail: invest@microequities.com.au
ⓒ COPYRIGHT 2022 MICROEQUITIES.
ALL RIGHTS RESERVED.
ⓒ COPYRIGHT 2023 MICROEQUITIES. ALL RIGHTS RESERVED.
Disclaimer: This website contains general information only and should not be construed or relied upon as legal, financial or professional advice. Accordingly the recipient should note that a) the advice has been prepared without taking into account the recipients objectives, financial situation or need; and b) because of that, the recipient should, before acting on the advice, consider the appropriateness of the advice, having regard to the recipients objectives, financial situation and needs, and obtain individual professional advice on this matter.
