Australian Financial Services Licence

Some of the businesses of the Company operate in industries requiring licencing under the Corporations Act. The Company has in place the necessary licence requirements and compliance procedures to ensure compliance with Australian law.

Given the Company's revenue is largely generated through the provision of financial services, it is a priority of the Company to ensure compliance procedures and policy guidelines are strictly adhered to at all times. To ensure compliance with the Corporations Act and its licensing obligations, the Company has a compliance committee consisting of the Company's executive Directors, senior managers, the compliance manager and the responsible officer.

Australian Financial Market Services

Australian Financial Market Services Pty Ltd holds an Australian Financial Services Licence No: 295337 which allows it, through a corporate authorised representative agreement to operate the HomeTrader, HomeTrader Signals and Backtesting Made Simple businesses.

All of the Company's representatives have been accredited to provide advice general securities advice to a standard prescribed by ASIC policy statement 146. A number are also accredited to provide advice in derivatives.

HomeTrader Pty Ltd

HomeTrader Pty Ltd has a corporate authorised representative agreement with Australian Financial Market Services Pty Ltd. The corporate authorised representative number for HomeTrader Pty Ltd pursuant to this agreement is 301 972.

All of the company’s Representatives have been accredited to provide general advice in securities to a standard prescribed by ASIC Policy Statement 146. A number are also accredited to provide advice in derivatives.

HomeTrader Pty Ltd operates the HomeTrader and Made Simple businesses.