Australian Entity — KCM Trade Plus

Important Notice: This page relates exclusively to Kohle Capital Markets Pty Ltd, the Australian entity operating under the KCM Trade Plus brand. It is a legally separate entity from Kohle Capital Markets Limited (Mauritius), which operates the KCM Trade brand globally. If you are an international client (outside Australia), please refer to the KCM Trade Legal & Compliance pages.

1. Entity Overview

2. Regulatory Authorisation

Kohle Capital Markets Pty Ltd holds Australian Financial Services Licence No. 489437, issued by the Australian Securities and Investments Commission (ASIC) pursuant to Section 913B of the Corporations Act 2001 (Cth).

The AFSL authorises the licensee to:

2.1 General Financial Product Advice

Provide general financial product advice to both retail and wholesale clients in relation to:

• Deposit and payment products (basic deposit products and other deposit products)
• Derivatives
• Foreign exchange contracts

2.2 Dealing in Financial Products

Deal in financial products as follows:

• Issue derivatives to wholesale clients only
• Apply for, acquire, vary, or dispose of deposit products, derivatives, and foreign exchange contracts on behalf of another person for both retail and wholesale clients

General advice only: Kohle Capital Markets Pty Ltd is authorised to provide general financial product advice only. This means advice is not tailored to any individual’s personal objectives, financial situation, or needs. It does not constitute personal advice or a recommendation to invest.

A copy of the licence is available on the Regulatory Documents page.

3. Scope of Services

Services provided by Kohle Capital Markets Pty Ltd under the KCM Trade Plus brand include:

• General financial product advice relating to derivatives and foreign exchange contracts
• Access to online financial education material
• Referrals to product issuers for trading accounts and associated products

Services are provided to Australian residents only. Overseas clients are directed to the KCM Trade global platform at www.kcmtrade.com.

4. Key Regulatory Conditions

The AFSL is subject to conditions prescribed by ASIC under the Corporations Act 2001, including but not limited to:

• Key Person Requirement: Compliance functions require a designated key person (Christopher Mark Gore). ASIC must be notified within 5 business days of any changes to this key person.
• Financial Requirements: The licensee must at all times meet base-level financial requirements, including the ability to pay all debts as they fall due and satisfy applicable adjusted surplus liquid funds (ASLF) thresholds.
• Compliance Measures: The licensee must establish and maintain compliance measures ensuring adherence to financial services laws.
• Training: All natural persons providing financial product advice to retail clients must meet ASIC-approved training and competency requirements.
• Audit Requirements: The licensee must lodge an annual audit opinion by a registered company auditor with ASIC.
• External Dispute Resolution: The licensee must maintain membership of the Australian Financial Complaints Authority (AFCA).
• MDA Prohibition: The licensee must not provide a Managed Discretionary Account (MDA) service to retail clients except when operating a registered scheme.
• Record Retention: Financial Services Guides and records of advice must be retained for a minimum of 7 years.

5. Disclosure Documents

Clients of Kohle Capital Markets Pty Ltd (KCM Trade Plus) should refer to the following disclosure documents, available at www.kcmtradeplus.com.au:

6. Complaints and Dispute Resolution

Important — KCM Trade Plus complaints only: This section applies exclusively to complaints regarding services provided by Kohle Capital Markets Pty Ltd under the KCM Trade Plus brand to Australian clients.

If you are a KCM Trade (global) client (using kcmtrade.com, the MT5 portal, or the KCM Trade mobile app), your complaint must be directed to Kohle Capital Markets Limited (Mauritius) — not to KCM Trade Plus. KCM Trade Plus is a separate Australian entity and cannot investigate or respond to complaints about KCM Trade (global) accounts or services. Please refer to the Complaints Policy page for the correct contact details.

If you have a complaint regarding services provided by Kohle Capital Markets Pty Ltd (KCM Trade Plus), please contact:

Internal Complaints:
Email: cs@kcmtrade.com.au
Phone: +61 02 8211 0406
Address: Level 2, 673 Bourke Street, Melbourne VIC 3000, Australia

If your complaint is not resolved within 30 days, you may refer the matter to:

Australian Financial Complaints Authority (AFCA)
Website: www.afca.org.au
Email: info@afca.org.au
Phone: 1800 931 678 (free call)
Post: Australian Financial Complaints Authority, GPO Box 3, Melbourne VIC 3001

You may also contact ASIC on its Infoline: 1300 300 630.

7. Relationship to KCM Trade (Global)

Kohle Capital Markets Pty Ltd is a related entity within the KCM Group. The parent entity is KCM Group Holdings Limited.

These are separate legal entities with separate licences, regulatory obligations, client agreements, and disclosure documents. Rights and obligations under one entity do not extend to the other.

8. Risk Warning

Trading in derivatives and foreign exchange contracts involves a high level of risk and may not be suitable for all investors.

You may incur losses substantially greater than your initial investment. You should only trade with money you can afford to lose. Past performance is not indicative of future results.

Before engaging with any financial product, you should read the relevant Product Disclosure Statement (PDS) and Target Market Determination (TMD) provided by the product issuer, and seek independent professional advice where appropriate.