FINANCIAL SERVICES GUIDE

This Financial Services Guide was prepared on 15 January, 2023.

FINANCIAL SERVICES GUIDE of Triple Crown Bloodstock Pty Ltd.

Holder of Australian Financial Services Licence No. 307377

Triple Crown Bloodstock Pty Ltd
ABN: 30 106 587 875
Suite 8, 694 Pacific Hwy, KILLARA NSW 2071, AUSTRALIA
Phone: (02) 9499 5212
Email: [email protected]
Website: www.triplecrown.com.au

GENERAL

The promotion of horse racing schemes is a financial service regulated by the Corporations Act and equires Triple Crown Bloodstock Pty Ltd (“Promoter”), as the holder of an Australian Financial Services Licence (“Licence”), to provide you with this Financial Services Guide (“FSG”) prior to it promoting an interest in a horse racing scheme to you.

This FSG is intended to inform you of certain basic matters relating to the services that the Promoter may provide to you, including the services he is authorised to provide, how you will pay for those services, how the Promoter gets remunerated and what to do if you have a complaint. It is intended that this FSG should assist you in determining whether to utilise any of the financial services that the Promoter is authorised to provide.

This FSG contains general information only and specific information relating to horse racing schemes promoted by the Promoter is contained in the Product Disclosure Statement for each scheme which is available from the Promoter upon request.

Who will be providing the financial service?

The Promoter holds the Licence in its own name and provides the financial services referred to in section 3 of this FSG in its capacity as principal, and not as an authorised representative of any other licensee.

The financial services referred to in section 3 of this FSG are provided either by the Promoter itself or on its behalf by employees or authorised representatives engaged by it in accordance with the Corporations Act.

The Promoter, as principal, is solely responsible for the financial services that it provides pursuant to its Licence.

AFS licensees are required to have adequate Professional Indemnity insurance or an alternative arrangement approved by ASIC. The Promoter obtained Professional Indemnity insurance from Logan Livestock Insurance Agency Pty Ltd on 1 May, 2020. The policy incorporates cover for all current and past employees of the promoter associated with this promotion at time of registration.

What financial services is the Promoter authorised to provide?

The Promoter is authorised to issue interests in horse racing schemes. To obtain an interest in a horse racing scheme you need to obtain from the Promoter a Product Disclosure Statement in relation to the relevant horse and complete the purchaser’s acknowledgment and application.

The Promoter is also authorised to provide general advice in relation to horse racing schemes. The Promoter is not authorised to provide personal advice (being advice that takes into account a person’s objectives, financial situation and needs) in relation to horse racing schemes.

How do I pay for financial services provided to me by the Promoter?

There is no charge for general advice given to you by the Promoter relating to the acquisition of an interest in a horse racing scheme.

If you do choose to invest in one of the Promoter’s horse racing schemes you will be required to pay the purchase price for your relevant interest in that scheme. The purchase price for an interest varies according to the particular horse the subject of a racing scheme and the number of participants in that scheme. The Product Disclosure Statement for the relevant syndicated horses contains details of the purchase price.

How does the Promoter get remunerated for its provision of financial services?

As stated above, the Promoter does not charge for giving general advice in relation to horse racing schemes.

In relation to the acquisition of an interest in a horse racing scheme, the purchase price that you pay the Promoter represents a proportion (based on the number of participants in the scheme) of the acquisition costs for that horse, the costs of promotion (a breakdown of these costs is contained in the Product Disclosure Statement for each syndicated horse) and in some cases a margin.

Is an interest in a horse racing syndicate an investment suitable to my needs and financial circumstances?

As stated in section 3 of this FSG, the Promoter gives general advice only and does not give personal advice that takes into account an investor’s objectives, financial situation and needs.

A horse racing syndicate is a speculative investment with its own risks and each investor should obtain their own independent advice as to the suitability of such an investment for them.

A copy of the Product Disclosure Statements for each horse racing scheme containing important details about that scheme is available for you upon request and we suggest you study it prior to making any decision to invest.

What do I do if I have a complaint about a financial service provided to me?

If you have a complaint about either the advice that the Promoter has given you or about an interest in a horse racing scheme that you have acquired from him you should take the following steps:

First – contact the Promoter and discuss your complaint with them. The Promoter has an internal dispute resolution process that it will utilise in an effort to resolve your complaint as quickly as possible.

Second – if your complaint is not resolved to your satisfaction after 45 days of having notified and discussed it with the Promoter, you have a right to complain to the Australian Financial Complaints authority (an external industry dispute resolution body of which the Promoter is a member), whose details are:

AUSTRALIAN FINANCIAL COMPLAINTS AUTHORITY

Telephone: 1300 780 808

Facsimile: (03) 9613 6399

Website: www.afca.org.au

Email: [email protected]

Mail: GPO Box 3, Melbourne, Victoria, 3001