Privacy Policy

Last modified: November 30, 2009

At LTG GoldRock we recognise that privacy is important. This Privacy Policy applies to all of the products, services and websites offered by LTG GoldRock Pty Ltd or it's affiliated companies. 

If you have any questions about this Privacy Policy, please feel free to contact us through our website or write to us at

Information we collect and how we use it

We offer a number of services that do not require you to register for an account or provide any personal information to us, such as the Trading Room Statements and a number of educational on-line videos. In order to provide our full range of services, we may collect the following types of information:

Information that you provide when registering for promotional products or services will only be used for information and promotional services that directly relate to your registered interest.

LTG GoldRock only processes personal information for the purposes described in this Privacy Policy and/or the supplementary privacy notices for specific services. In addition to the above, such purposes include:

Providing our services to users, research and analysis in order to improve our services; promotion of the LTG GoldRock Program.

LTG GoldRock does not sell, distribute or disclose your personal information for any reason and to un-subscribe from our mailing list please click on the un-subscribe link at the bottom of the relevant email.

Financial Services Guide 

What Financial Products & Services can we provide?

We have been granted a license to carry on a financial services business to:

(a) provide financial product advice for the following classes of financial products:

(i) derivatives;

(ii) foreign exchange contracts;

and

(iii) securities; and

(b) deal in a financial product by:

(i) arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:

(A) derivatives;

(B) foreign exchange contracts;

and

(C) securities; to retail and wholesale clients.

Who will provide me with financial product advice?

Advice is provided by our authorised representatives, for and on behalf of the International Securities & Derivatives Group.

They may be an individual, or in some instances a company. You should note that your adviser may not be authorised to

provide all the services we are licensed to provide you with. Please refer to the attached Adviser Profile or Supplementary

FSG for specific information regarding your chosen adviser.

How will financial product advice be provided to me?

Your adviser may provide you with advice through a number of means including;

• In Person
• Email / Website
• Telephone
• Newsletter
• Software

Please refer to the attached Adviser Profile or Supplementary FSG for specific information regarding how your chosen adviser will provide financial product advice and / or services to you.

Do you provide general or personal financial product advice?

The International Securities & Derivatives Group Pty Ltd and its authorised representatives provide general financial

product advice only. This means that the advice has not been prepared by taking into account your personal investment objectives, financial situation or particular needs. Before acting on any general advice, you need to decide whether it is appropriate for your individual financial situation. If you are in any doubt, you should consult with a licensed investment adviser, financial planner, or accountant before making an investment or trading decision.

What risks are involved in trading the financial products we may advise you on?

The risk involved varies greatly depending on the instrument traded. Investing in ASX top 200 stocks for instance carries far less

risk than trading speculatively in Index options. The exact risks associated with each product will be outlined in detail in the relevant PDS, which will be provided to you by your chosen broker. You should consider the information contained in the relevant PDS before investing in or trading any of the products we may advise you on.

When will I receive a Product Disclosure Statement (PDS)?

Once you have considered any advice we have provided you with, and decided to act on the advice, you will communicate the

relevant order or instructions to your chosen broker for execution. Your broker will therefore be the product issuer or product

acquirer, and therefore responsible for providing you with a PDS.

When requested we will provide you with general product information as made available by the Australian Securities

Exchange (ASX). This information should be considered as a guide only, and is not intended to replace the PDS your broker will

provide you with.

What Fees and commissions do you receive?

Our advisers provide a wide variety of financial products & services, and the fees you pay can vary significantly between

advisers. You may pay a once-off fee to attend an educational seminar or training workshop, or you may pay a monthly

subscription for regular newsletters or advisory services. Some of our advisers will supply you with software to assist you in

making trading decisions. You may pay an initial purchase price for the software, and ongoing fees for support and / or data feeds.

Our advisers will clearly explain all fees payable by you prior to any advice or product being offered to you, and a tax invoice will be provided to you. Please refer to the attached adviser profile or Supplementary FSG for details on the exact fee structure and if applicable, IB commission, that will remunerate your advisor.

Compensation and Insurance Arrangements

At the date of preparing this document, The International Securities & Derivatives Group have professional indemnity insurance that covers the conduct of both current and past representatives. This cover complies with s912B of the Corporations Act 2001.

Privacy Policy

We collect your personal information when you;

• Complete and submit forms on our web site; &

• Return completed paper account opening forms

We do not disclose any non-public, personal information about our customers, former customers, or potential customers to anyone, except as required to provide agreed services through third party service providers.

We may contact you from time to time with promotional and marketing material via phone, email and mail. If at any time you do

not wish to receive marketing material please contact us and we will remove you from our contact lists.

What If I have a complaint?

If you have a complaint about our products or  services you should notify the representative who provided you with that product or service.

They will work with you to address your concerns and reach a satisfactory outcome. If you are not satisfied with the outcome of this process, you should contact our compliance officer directly. They will thoroughly investigate your complaint and provide a written report to you within 21 days. If the matter is complex and a longer period of time is required, you will be contacted and notified.

Notification of complaints should be done in writing, and addressed to;

The International Securities & Derivatives Group Pty Ltd

If your complaint cannot be resolved to your satisfaction after this process you have the right to have your complaint heard by the

Financial Ombudsman Service (FOS). FOS is the external dispute resolution scheme authorised to deal with complaints in relation to investment advice.

The Financial Ombudsman Service can be contacted on 1300 780 808 or on the web at www.fos.org.au