Nikko Asset Management in Australia comprises:

  • Nikko AM Limited (NAML) (ABN 99 003 376 252; Australian Financial Services Licence 237563)
  • Nikko Asset Management Australia Limited (NAM AU) (ABN 99 003 376 252; Australian Financial Services Licence 237563)

28 November 2016

How to contact us

Nikko AM Investor Services
Address: GPO Box 804, Melbourne VIC 3001
Phone: 1800 251 589
8.30am to 5.30pm (Sydney time) Monday to Friday
fax: 1300 362 722
web: www.nikkoam.com.au


Financial Services Guide

This Financial Services Guide (FSG) is an important document which we are required to provide to retail clients in accordance with our Australian Financial Services Licence (AFSL). It provides you with information about both Nikko AM Limited and Nikko Asset Management Australia Limited (collectively Nikko AM Australia, us, we) and will help you to understand the financial services that each company provides and to help you to decide whether to use our services. This FSG provides details about:

  • Who we are;
  • The types of financial services and products that we are authorised to provide to our clients under our Australian financial services licence;
  • How we are remunerated;
  • Our external dispute resolution procedures and how you can access these;
  • Our compensation and insurance arrangements; and
  • How you can contact us and provide instructions to us.

The information contained in this FSG is general information only and has been prepared without taking into account the objectives, financial situation or needs of any individual. Nikko AM Australia provides no warranty regarding the suitability of any of the services described in this FSG for any person.

Who we are - About Nikko AM Limited and Nikko Asset Management Australia Limited

Both Nikko AM Limited and Nikko Asset Management Australia Limited are part of the Nikko Asset Management Co., Ltd Group (Nikko AM Group) which is one of the largest global asset management companies headquartered in Asia. The Nikko AM Group includes the following companies:

  • Nikko Asset Management Co., Ltd
  • Nikko Asset Management Asia Limited
  • Nikko Asset Management Hong Kong Limited
  • Nikko Asset Management Americas, Inc.
  • Nikko Asset Management Europe Ltd
  • Nikko Asset Management New Zealand Limited

Financial Services and products that we are authorised to provide our clients

NAM AU acts as a Responsible Entity for registered managed investment schemes (Funds). To invest in any of our Funds, you must obtain and read the relevant Product Disclosure Statement (PDS) and complete the application form. Each PDS contains information about how the Fund operates including information on the investment strategy, fees, costs and risks of investing in the Fund.

NAML acts as Investment Manager for the Funds.

The services we provide and products that we issue are provided on our own behalf. We do not represent you, nor do we act as your agent.

Further, we are not licensed to provide you with personal financial advice. We can only provide you with factual information and in some circumstances may provide you with general financial product advice. If you require personal financial advice that takes into account your objectives, financial situation and needs, you will need to contact an appropriately licensed financial advisor. If you receive personal financial advice from a financial advisor, you may be charged. Any fees charged will be set out in a separate Financial Services Guide or Statement of Advice provided to you by your financial advisor.

The financial services that we are authorised to provide to retail and wholesale clients under our AFSL’s are shown in the following table:

financial services that we are authorised to provide to retail and wholesale clients under our AFSL’s

How we are remunerated

General Advice

Any general financial product advice that we may provide to you is free.

Other Services / products

As Responsible Entity of the Funds, NAM AU is remunerated in relation to your investment into the Fund. The fees and costs that you pay and any benefits that we receive, for each product that we offer are set out in the Product Disclosure Statement.

Related party remuneration

The Funds may invest in other Funds of which we, or a related entity, are trustee, Responsible Entity or manager (related Funds). There is no limit on the level of investment in related Funds. Subject to the constitution of the Fund, we may appoint any of our related entities within the Nikko AM Group to provide services or perform functions in relation to the Funds, including acting as our delegate. A related entity is entitled to earn fees or other benefits in relation to any such appointment and to retain them for its own account. These fees will be paid by NAM AU out of the Management Fees we are paid from the Fund and will not be an additional cost.

Third parties

Where permitted by law, we may pay commissions or make other payments to third parties in connection with the services that we provide to you. Details of all commissions and other payments are disclosed to you in the Product Disclosure Statement and Additional Information to the Product Disclosure Statement for the Fund that you invest in.

Our external dispute resolution procedures

We aim to resolve any concerns or complaints quickly and fairly. If you have a concern or complaint please call Nikko AM Investor Services on 1800 251 589 or write to us at:

Nikko AM Investor Services
GPO Box 804
Melbourne VIC 3001

If your issue is not resolved within 45 days, you may refer your complaint to the Financial Ombudsman Service (FOS). Contact details for the FOS are:

Financial Ombudsman Service Limited
GPO Box 3
Melbourne VIC 3001
Phone: 1300 780 808
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Fax: (03) 9613 6399
Web: www.fos.org.au

Compensation and insurance arrangements

Nikko AM Australia holds professional indemnity insurance cover that complies with section 912B of the Corporations Act 2001 (as amended) and ASIC Regulatory Guide (RG) 126. This covers the financial services provided by Nikko AM Australia and its employees while they are in our employment and also this coverage continues for any employee that ceases to work for us, but for work completed while employed by us.

Privacy

Personal information you provide is used by us and our delegates, to administer your investment, make distribution payments and to provide investor communications required or permitted by the Corporations Act or other legislation. We may also from time-to time send you other material, including marketing material, unless you request otherwise. We may disclose your personal information to third parties such as related entities, your adviser (if nominated), other service providers such as printers and mail houses, and government departments.

Your privacy is important to us and we have rules and procedures in place that cover the collection, use and disclosure of personal information we hold about investors. These rules and procedures are set out in the Nikko AM Australia Privacy Policy, available at www.nikkoam.com.au or free of charge on request from Nikko AM Investor Services. You can request details of your personal information held by us by contacting Nikko AM Investor Services. Please also contact Nikko AM Investor Services to notify us if your information is incorrect or requires updating.

Other documents you may receive

Statement of Advice

If you are a retail client and received personal financial advice from your third party financial advisor, you will receive a Statement of Advice (SoA). Personal financial advice is advice that takes into account one of more of your financial objectives, your financial situation and your financial needs. The SoA will contain the advice, the basis on which the advice is given and information about fees, commissions and any associations which may have influenced the advice. As outlined earlier in this document, we will not provide you with personal financial advice.

Product Disclosure Statement

If you invest in one of our products or Funds, you will need to obtain a Product Disclosure Statement (PDS) that provides a summary of significant information about each Fund. Each PDS contains general information only and does not taking into account your personal financial situation or needs. The PDS may incorporate by reference other additional information that can be found within the Additional Information Booklet, or our website. You should read and understand these documents and discuss them with an appropriately licensed financial adviser prior to investing with us.

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