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Financial Industry compliance information financial planner in Port Macquarie

Our Financial Services Guides (FSG) are documents that we provide to you which provides information to you about Charter Financial Planning and COMPASS


  • Charter Financial Planning are an official Australian Financial Services Licensee (Licence Number 234665). COMPASS choose to be Authorised Representatives and associated with Charter Financial Planning as their Licensee with The Australian Securities and Investment Commission

  • The FSG for each Financial Planner follows:


Fee structure of financial plannr inPort Macquarie

Initial Advice 

Advice Implementation 

Additional Advice 



Click here to find out more about the COMPASS fee structure.


Professional Indemnity for Financial Planner Port Macquarie



Professional indemnity insurance is maintained by Charter Financial Planning and each COMPASS business to cover advice, actions and recommendations which have been authorised by Charter Financial Planning and provided by your Financial Planner. The insurance satisfies the requirements imposed by the Corporations Act 2001 and financial services regulations.


Professional Indemnity

What should you do if you have a complaint?

If you have any complaints about the services provided to you, you should take the following steps:

  • Contact your financial adviser and tell them about your complaint.

  • If your complaint is not satisfactorily resolved within three days, please contact Charter Financial Planning on 137 292 or put your complaint in writing and send it to: Charter Financial PlanningAttention: Complaints Case Manager Advice and Licensing Level 12, 33 Alfred Street, Sydney, NSW 2000

Charter Financial Planning will try to resolve your complaint quickly and fairly. If your complaint has not been resolved satisfactorily, you may escalate your complaint to one of the following External Dispute Resolution Schemes listed below.


External complaints service Financial advice, investments, superannuation or insurance matters, 

Financial Ombudsman Service (FOS) on 1300 780 808


Personal information held:

The Privacy Commissioner on 1300 363 992

The Australian Securities and Investments Commission (ASIC) may be contacted on 1300 300 630 to find out which body may be best to assist you in settling your complaint.


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Financial Planner in Port Macquarie - your privacy

COMPASS financial management maintains a record of your personal information. You have the right to withhold personal information, but this may compromise the effectiveness of the advice you receive. A copy of any recommendations made to you will be retained by COMPASS financial management for seven years. Please contact COMPASS financial management to review your file.


Charter Financial Planning and your COMPASS adviser will implement a privacy policy, which ensures the privacy and security of your personal information. You can request a copy of the policy from COMPASS financial management or click here.


COMPASS is able to provide ongoing excellence in advice from another Senior Partner who is a CERTIFIED FINANCIAL PLANNER® if your adviser leaves Charter Financial Planning or is unable to attend to your needs due to an extended absence from the business. In these circumstances, COMPASS will write to you advising you of the change. Your personal information will be passed on to the new adviser.


If you choose to appoint a new financial adviser, your new adviser will be provided access to your policy information. They will be responsible for providing you with ongoing advice relating to those policies and all future advice fees deducted from the policy/(ies) will be paid to your new adviser.


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Legal disclaimer Finacal Planner Port Macquarie

Information provided on this website is general in nature and does not constitute financial advice.

COMPASS financial management will endeavour to update the website as needed. However, information can change without notice and COMPASS does not guarantee the accuracy of information on the website, including information provided by third parties, at any particular time.

Every effort has been made to ensure that the information provided is accurate. Individuals must not rely on this information to make a financial or investment decision. Before making any decision, we recommend you consult a financial planner to take into account your particular investment objectives, financial situation and individual needs.

COMPASS financial management does not give any warranty as to the accuracy, reliability or completeness of information which is contained in this website. Except insofar as any liability under statue cannot be excluded, Charter Financial Planning, its employees and authorised representatives do not accept any liability for any error or omission on this website or for any resulting loss or damage suffered by the recipient or any other person.

Unless otherwise specified, copyright or information provided on this website is owned by Charter Financial Planning. You may not alter or modify this information in any way, including the removal of this copyright notice.

Charter Financial Planning Limited ABN 35 002 976 294, 
Australian Financial Services Licensee Licence Number 234665, 
Principal Address: 33 Alfred Street, Sydney, NSW 2000

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