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 Fax: (02) 9499 5213

Email: info@triplecrown.com.au

Website: www.triplecrown.com.au

General

The promotion of horse racing schemes is a financial service regulated by the Corporations

Act and requires 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: info@afca.org.au

Mail: GPO Box 3, Melbourne, Victoria, 3001