Raisebook Promotion and Marketing Material Review Register

RAISEBOOK Promotion and Marketing Material Review Register

The purpose of the promotion and marketing material review register is to ensure all promotion and marketing material submitted is reviewed for compliance and recorded prior to publishing. All promotion and marketing material submitted for review must be entered into this register. As part of the review of submission in this register, CN will take into consideration the relevant Acts and financial services regulations including, but not limited to, the Corporations Act (Cth) 2001, RG53, 79, 234, and 244 of the ASIC Regulatory Guides. Please note, you must complete ALL mandatory fields . If you fail to do so, we will not be able to review your material.

©CN. This document is protected by copyright to Compliance National (CN). The unauthorised use of this document by any person will be treated as theft and a breach of copyright and will be reported to the Police and protected by legal action in the Supreme Court.

Q1. State the name of the person requesting the review. *

Q1.1. State the name of your Corporate authorised representative or AFSL. *

Q1.2. State the name of the Company you seek to promote. *

Q1.3. Please state the ASX Code for this Company.

Q1.4. Has this marketing material been previously reviewed? *

Yes No

Q2. Is this Marketing Material capable of being viewed by potential or current Foreign clients? *

Yes No

Q2.1 Have you reviewed the Australian Country/Regime Sanction List to ensure you are not providing Financial Services to Countries/Regimes on the List?

YES

http://dfat.gov.au/international-relations/security/sanctions/sanctions-regimes/Pages/sanctions-regimes.aspx

Q2.2 Have you reviewed the Australian Consolidated Sanctions List which contains persons and organisations subject to Australian and UN Sanctions?

YES

http://dfat.gov.au/international-relations/security/sanctions/pages/consolidated-list.aspx#list

Q3. Type of marketing material? Please select from the categories below. If you're requesting more than 1 item to be reviewed you can nominate more than one category. *

Websites Email Document (PDF & Word) Powerpoint Social media inclusion Presentation Material Sales script Video

Q3.1 Will this Marketing Material be used at a Presentation? *

Yes No

Q3.2. Are you seeking permission to conduct this Presentation? *

Yes

Q3.3. State the full name of the organiser of the Presentation. *

Q3.4. In what City and Country will the Presentation take place in? *

Q3.5. What date will the Presentation commence? *

Day Month Year

Q3.6. What date will the Presentation conclude? *

Day Month Year

Q3.7. Please indicate who will be attending the Presentation. *

Current Customers Perspective Customers Random Members of the Public

Q3.8. If the Presentaion is conducted in a Foreign Territory, are you Licensed or Authorised in that Territory to provide Financial Advice? *

No Yes

Q3.9. If yes, please provide your License or Authorisation Details. *

Q4. Does any of your marketing material require hyperlinks/URL's to be reviewed? *

No Yes

Hyperlink 1

Hyperlink 2

Hyperlink 3

Hyperlink 4

Hyperlink 5

Q4.1 Does your marketing material require login details to enable a review? *

No

Q4.2. Does your Marketing Material require the approval from the CEO of the ASX Listed Company? *

YES NO

Please upload the Approval Document here.

Upload a File

Q4.3. Does your Marketing Material require your AFSL's approval? *

YES, because it is a Retail Customer Promotion NO, because it is a 708 Customer Promotion

Please upload the Approval Document here. *

Upload a File

Q4.4 Is there a Prospectus in regard to this submission? *

Yes No

Q4.5 Is the Marketing Material you have submitted 100% consistent with the information contained in the Prospectus include all Comment & Content? *

Yes No, PLEASE NOTE THAT YOU WILL BE UNABLE TO SUBMIT YOUR MARKETING MATERIAL IF IT IS NOT 100% CONSISTENT WITH THE PROSPECTUS.

Q4.6. Do you wish to provide any information which will assist in the review of this material? If yes, please provide below.

Q4.7. Please attach all files to be reviewed that contain Marketing Material ONLY. DO NOT upload, here, any Approval documents mentioned in the previous questions.

Select File

Please note: Where applicable all questions below require the "Yes" answer. If your answer is no you will need to amend your material so the answer is Yes.

Q5. Are your authorisation materials clearly stated on the material if applicable? The Licensee and Authorised Representative must be clearly defined in all promotional material . The AFSL number and the AR number should be clearly defined on all materials. ie. I am Authorised Pty Ltd (rep No. 4XXXXXX) is a corporate authorised representative of Licensee Australia Ltd (AFSL No. 4XXXXXX) *

Yes Not applicable

Q6. Does the advertising material present a balanced argument of both the benefits and risks, if applicable? Advertisements for financial products should give a balanced message about the returns, benefits and risks associated with the product. Advertisements should not overstate the potential benefits (e.g. investment returns) or create unrealistic expectations by giving undue prominence to the benefits compared with the risks. You cannot rely on caution notices to provide the balance in an argument. *

Yes Not applicable

Q7. Is there a General or No Advice warning in the material, if applicable? If the material contains general advice, it must contain a notice that: The information is general information only. Any advice is general advice only. The advice has been prepared without taking into account your personal objectives, financial situation or needs. Accordingly you should consider how appropriate the advice (if any) is to those objectives, financial situation and needs, before acting on the advice. (If the advice relates to a financial product) the client should obtain and consider the Product Disclosure Statement before making a decision in relation to the product . Please ensure that any references to the word "disclaimer" have been excluded from the material, as it is a prohibited term. Ensure that you use the approved Customer Caution Notice only. Also ensure that the Caution Notice is not hidden or small. It must be prominent. *

Yes Not applicable

Q8. Does this promotional material fairly and accurately represent the product and features? Please ensure that all promotional material fairly represents the financial product or its key features and risks. The nature and scope of the advice should not be misleading nor create unrealistic expectations that may lead to poor financial decisions. Information about the risks of a product should be clear and not difficult to understand. Advertisements for financial products should give a balanced message about the returns, benefits and risks associated with the product. Benefits should not be given undue prominence compared with risks. *

Yes

Q9. Is the marketing information consistent with the product disclosure statement? Where an advertisement draws attention to specific product features, the advertisement should be consistent with information contained in any disclosure document (such as a PDS or prospectus) or contracts. Please ensure the customer must consider the PDS or prospectus in deciding whether to purchase the advertised product and where the Disclosure Statement can be obtained. *

Yes A PDS is not required for this product

Q10. Where the promotional material has references to past and or future performance: Have you included the approved performance caution notice? Performance information should be accompanied by the approved performance caution notice. Forecasts about the future performance of a financial product should be based on reasonable assumptions and should also state that the forecasts are not guaranteed to occur in the future. Claims of past performance will require proof in the following terms; the use of relevant and sufficient time frames, and the use of the most recent information from live trading accounts. Please ensure that you use the approved Performance caution notice and place immediately below the material, under every claim, chart or graph which claims past or future performance and at the end of the material. Ensure this approved performance caution notice is at the same font size as the rest of the text in the material. Please note: the use of back tested results as past performance results are not permitted by your AFSL holder. The use of live and real account performance is the only evidence you can use to describe the past performance of your product. *

Yes There is no reference to past and or future performance in this material

Q11. Have you ensured that the promotional material is not creating a misleading impression of the scope of your authorisation? An advertisement should not create a misleading impression about the nature and extent of the AFSL, CAR’s or AR’s authorisation, experience, scope of business and or qualifications. Focus of the material will only be on the products that is within the scope of the AFSL and/or AR’s Authorisation. Do not discuss or advise on products or services that are not within the scope of your authorisation. Look at the general perception given by the material and ensure that the focus is correct. Do not advise on Superannuation or SMSF products, if your licence or authorisation does not include superannuation endorsements. *

Yes

Q12. Have you ensured that no misleading or banned words or phrases have been used? The law bans the use of certain words and allows them to be used only by certain persons. Broker, Stock Broker and Insurance are just some restricted terms to be used only by specific authorised persons. You are not one of these persons. Additionally terms and phrases should not be used in a particular way where these are not consistent with the ordinary meaning commonly recognised by consumers. In addition you are not permitted to use the following words to describe financial products or services; ‘free’, ‘easy’, ‘simple’, ‘risk free’, ‘secure’ and ‘guaranteed’. The use of the word "free" may not be used to describe a product or service where there are any conditions or requirements attached, e.g. an advertisement describing free brokerage, however this conditional upon a customer trading with a $50,000 account. It is inappropriate to describe trading in any financial product as "simple" or "easy" or "less risky". Industry concepts or jargon should be avoided unless the promoter is confident that these terms will be understood by the less sophisticated person in the target audience. Inappropriately using terms and phrases can: (a) create expectations that cannot be met; (b) indicate a certain level of security that does not exist; and (c) indicate different levels of protection and different levels of risk. *

Yes

Q13. Have you ensured that the photographs and or imagery used in the material is appropriate? Photographs and images should not contradict, detract from or reduce the prominence of any warnings, customer caution notices or qualifications. Graphical presentations should not be ambiguous or overly complicated. Images of people strolling along beaches, people standing beside their Ferraris and other items which may be considered inappropriate or “selling the dream” are forbidden. This is the case whether or not the photograph/image/graph has a customer caution notice attached. *

Yes

Q14. Is the information used 100% accurate and verifiable? You must ensure you have a reasonable basis for believing that all information used to be relied upon is accurate and reliable. The representation will be considered misleading if you do not have reasonable grounds for providing the information. Puffery is strictly forbidden. An example of puffery would be to say " we are Australia's most experienced financial advisors" .This is clearly unprovable and is only your opinion. It is puffery and prohibited. ASIC may require you to prove any claims and statements and if you cannot, you could be guilty and prosecuted for false and misleading conduct. *

Yes

Q15. If your Submission requests an approval for a presentation you must agree to the following conditions: 1. No introduction by persons not fit and proper to be associated with a financial services provider. 2. No recommendation by persons or organisations not fit and proper to be associated with a financial sevices provider. 3. No unapproved marketing material to be used or given to any attendee. 4. The entire Presentation is to be recorded by audio or video and provided to CSA on or before the end of the month in which the presentation was conducted. 5. Each and every Presentation event is to be submitted for review. Do you agree to strictly comply with these conditions? *

Yes Not applicable as I'm not seeking permission to conduct a presentation.

WHATS NEXT? You must allow us sufficient time for review of your material. Our service charter provides for a 48 hour turn around in the review of most marketing material . Longer times for review of larger documents such as Ebooks will apply. We will provide you feedback where appropriate.

Declaration of Accuracy I declare the information in this form to be true and accurate and I understand that providing false or misleading information is a breach of the law. Signed (insert name below) *

OFFICE USE ONLY Please leave this section blank

When was the review completed?

Date

Is this a re-review?

Q1. Has the marketing material been approved?

Yes No Yes, Conditional

Q2.Add comments that will assist in the understanding of the review of the Marketing Material.

Q3. Has the Presentation been approved?

Yes No Yes, Conditional Not applicable

Q4. Add comments that will assist in the understanding of the review of the Presentation.

Q5. Please attach files that have been reviewed with comments.

Select File

Q6. Who conducted the review?