Our Financial Services Guide (FSG) relates to the services of B. Moses Securities and B. Moses Asset Management. Our FSG contains important information that we are required to give you, and which you should read to assist you in deciding whether to use any of our financial services and products. If you are considering using any of the services offered by one of our other subsidiary companies under B. Moses Holdings, you must review the relevant FSG for the respective company.
B. Moses Trading Policy for BMAM and BMS (Request)
Financial Services Guide (FSG) provided by clearing and settlement provider (Request)
The services provided by B. Moses Asset Management are for wholesale investors, professional investors, and or sophisticated investors only. Please note you will be treated as a retail client in your dealings with B. MOSES unless otherwise advised and presented with evidence that you are a wholesale client.
A Wholesale Investor can be classified as one of the following when;
- Investing AUD $500,000 or more; or
- An Accountant’s Certificate is provided verifying net assets of AUD $2.5M OR a gross income of at least AUD $250,000 pa for the last two financial years; or
- Utilising financial products in connection with a business that is NOT a small business (i.e. 20+ employees if a non-manufacturing business or 100+ employees if a manufacturing business); or
Please note that clients who are trustees of superannuation funds including SMSFs, will not classify as wholesale clients unless you;
(a) control net assets of at least AUD$10m OR
(b) are an APRA-regulated entity (other than merely as a trustee of a superannuation entity) OR
(c) hold an Australian Financial Services Licence.
A Professional Investor can be classified as one of the following;
- I/We hold an Australian Financial Services Licence number; or
- I/We are a trustee of a superannuation entity or a person which controls net assets of at least AUD$10m; or
- I/We are a listed entity (in Australia) or a related body corporate of a listed entity; or
- I/We are regulated by APRA (other than as a trustee of a superannuation entity); or
- I/We are registered under the Financial Corporations Act 1974 (Cth); or
- I/We are an exempt public authority; or
- I/We are a corporate entity which carries on a business of investment in financial products, interests in land or other investments AND invest such funds pursuant to public offers or invitations; or
- I/We are a foreign entity that would if incorporated in Australia, fall within one of the above categories.