Financial Services Guide (FSG)

Issuer

• Moo moo Securities Australia Ltd (ABN 51 095 920 648) trading as Moomoo AU
• Australian Financial Services (AFS) licensee (Licence No: 224663)
• Regulated by the Australian Securities and Investments Commission (ASIC)

Purpose

• Helps you decide if you want to use Moomoo AU's services

Contents Overview

1. Who we are
2. What financial services we offer
3. How you can provide us with instructions
4. Remuneration in connection with services
5. Use of personal information
6. Handling complaints
7. Professional indemnity
8. Contact information

1. Who We Are

• Moomoo AU, licensed by ASIC, is a broker-dealer based in Sydney
• Parent company: Futu Holdings Limited (Nasdaq: FUTU)
• Backed by Tencent, Sequoia Capital, Matrix Partners
• Offers a free-to-download trading platform: moomoo
• Website: moomoo.com/au

2. Financial Services Offered

• Authorized to deal in financial products, provide general financial product advice, apply for financial products, and provide custodial services
• Services for retail and wholesale clients
• Products include:
  • Deposit and payment products
  • Government-issued debentures, stocks, bonds
  • Managed investment schemes
  • Derivatives
  • Securities
• No personal financial product advice

3. Instructions

• Orders accepted via the moomoo trading platform
• Confirmation sent after trade; report discrepancies via Client Service Centre

4. Remuneration

• Fees subject to change, include GST
• Detailed fees available on the website's Fees Schedule
• Revenue may also come from services to external financial institutions and qualified referrals
• Employees remunerated by salary, sometimes bonuses

US Stocks and ETFs Pricing

• Commission: $0, Platform fee: $0.99/order
• Other fees include settlement, SEC, TAF, ADR custody fee

AUS Stocks and ETFs Pricing

• Commission: 0.01% Transaction Amount, min $1/order
• Platform fee: 0.02% Transaction Amount, min $2/order

HK Stocks and ETFs Pricing

• Commission: 0.03% Transaction Amount, min HK$3/order
• Platform fee: HK$15/order

Foreign Exchange Fees

• AUD/USD conversion: 55 pips added
• AUD/HKD and USD/HKD conversions available

Shares Transfer Fees

• Incoming transfer: Free
• Outgoing transfer fees vary by market

Recurring Investment Fees

• US: Same as regular fees
• AUS: AU$9.90/plan/month

5. Use of Personal Information

• For investment administration, communication, and legal compliance
• Privacy Policy available on the website
• Information shared with related entities and service providers

6. Handling Complaints

• Initial contact through Client Services Centre
• Formal complaints to [email protected]
• External complaints can be lodged with AFCA (Membership No: 11109)

7. Professional Indemnity

• Compliance with Corporations Act section 912B

8. Contact Information

• Address: Suite 1701, Level 17, 570 George Street, Sydney NSW 2000, Australia
• Email: [email protected]
• Website: moomoo.com/au