Our commitment to regulatory excellence and ethical business practices
At Worldwide Banners, regulatory compliance and governance are foundational to our operations. Worldwide Banners Pty Ltd (ABN 97 682 642 735) is an Authorised Representative (No. 1314512) of Capital Guard Pty Ltd, the holder of Australian Financial Services Licence (AFSL No. 498434). We maintain rigorous standards in all our investment activities and client interactions.
Information about our services and how we operate
How we handle and protect your personal information
Our process for handling complaints and resolving issues
A multi-layered approach to ensure regulatory compliance and best practices
Adherence to ASIC regulations and Australian financial laws
Independent board supervision and policy development
Comprehensive risk assessment and mitigation strategies
Robust systems for operational and financial monitoring
Dedicated professionals ensuring daily adherence to all policies
A multi-layered approach to ensure regulatory compliance and best practices
The primary legislation governing financial services in Australia. It sets out the legal framework for businesses and markets, including financial products, services, and disclosure requirements.
Establishes the Australian Securities and Investments Commission (ASIC) as Australia's integrated corporate, markets, financial services and consumer credit regulator. ASIC is responsible for maintaining, facilitating and improving the financial system.
Anti-Money Laundering and Counter-Terrorism Financing Act requires financial services providers to implement customer verification procedures and report suspicious transactions.
Regulates how personal information is handled, including collection, use, storage, and disclosure of client data by financial organizations.
Product Disclosure Statement for our Advanced Performer Portfolio product.
Product Disclosure Statement for our Balanced Multi-Ad Starter product.
Product Disclosure Statement for our Diversified Growth product.
Product Disclosure Statement for our Global Prestige Elite product.
Product Disclosure Statement for our Performance product.
Product Disclosure Statement for our Strategic AI Diversified product.
How we implement comprehensive compliance across our business
Our comprehensive risk management framework identifies, assesses, and mitigates potential risks across all business operations. We employ sophisticated analytics to maintain risk within clearly defined parameters.
We prioritize client interests through clear disclosures, transparent fee structures, and fair dealing practices. Our client onboarding process includes thorough suitability assessments.
We implement robust cybersecurity measures to protect client information. Our infrastructure includes encryption, multi-factor authentication, regular security audits, and staff training.
We maintain accurate financial records and reporting systems that comply with Australian Accounting Standards. All reports undergo rigorous internal reviews and independent audits.
Our Anti-Money Laundering program includes thorough customer due diligence, ongoing transaction monitoring, and prompt reporting of suspicious activities to AUSTRAC.
Our Code of Ethics sets stringent standards for professional conduct. All employees undergo regular training on ethical business practices, conflicts of interest, and market integrity.
How we systematically ensure adherence to regulatory requirements
Adherence to ASIC regulations and Australian financial laws
Creation of comprehensive policies aligned with regulatory requirements and business objectives.
Deployment of systems, controls, and training to integrate compliance into daily operations.
Ongoing surveillance and testing to verify adherence to policies and procedures.
Regular assessment of the compliance program's effectiveness and areas for improvement.
Responsive updates to address regulatory changes, emerging risks, and business evolution.
How we systematically ensure adherence to regulatory requirements
Worldwide Banners Pty Ltd (ABN 97 682 642 735) is an Authorised Representative (No. 1314512) of Capital Guard Pty Ltd, the holder of Australian Financial Services Licence (AFSL No. 498434). This authorises us to promote and distribute certain financial products on behalf of Capital Guard. All investment products offered on this website are issued by Capital Guard Pty Ltd.
Client funds are held in segregated accounts separate from our operational accounts. We maintain appropriate professional indemnity insurance and implement rigorous internal controls to safeguard client assets. Additionally, we partner with established custodians who provide an additional layer of security and oversight.
Our privacy policy complies with the Australian Privacy Principles under the Privacy Act 1988. We collect only necessary personal information, implement strict security measures to protect this data, and never sell client information to third parties. Clients can request access to their personal information at any time.
We maintain a Conflicts of Interest Policy that identifies potential conflicts and establishes procedures to manage them. This includes disclosure requirements, information barriers, supervisory oversight, and in some cases, prohibition of certain activities. All employees receive training on conflict identification and management.
We have a comprehensive AML/CTF program that includes client identification and verification procedures, ongoing client monitoring, risk assessments, record-keeping, and staff training. We report suspicious transactions to AUSTRAC as required by law and regularly review our program to ensure compliance with current regulations.
We have a structured complaints resolution process designed to address client concerns promptly and fairly. Clients can submit complaints through multiple channels, and all complaints are logged, investigated, and responded to within established timeframes. If a satisfactory resolution cannot be reached, clients can escalate to the Australian Financial Complaints Authority (AFCA).
Our compliance team is available to address any regulatory or governance questions
The Australian Securities and Investments Commission (ASIC) is Australia’s integrated corporate, markets, financial services, and consumer credit regulator. ASIC plays a crucial role in maintaining, facilitating, and improving Australia’s financial system and economy to support and enable a strong, resilient, and stable financial system.
For more information about ASIC’s role, visit ASIC’s official website.
How we implement comprehensive compliance across our business
Submit your complaint via email, phone, or our website contact form. We’ll provide an acknowledgment within one business day.
We’ll investigate your complaint promptly, aiming to resolve it within 5 business days. For complex matters, we’ll keep you informed of progress.
Our investigation process includes a thorough review of your concerns, analysis of relevant information, and determination of appropriate resolution.
We’ll investigate your complaint promptly, aiming to resolve it within 5 business days. For complex matters, we’ll keep you informed of progress.
Our investigation process includes a thorough review of your concerns, analysis of relevant information, and determination of appropriate resolution.
If you’re not satisfied with our response to your complaint, you can contact the Australian Financial Complaints Authority (AFCA). AFCA provides fair and independent financial services complaint resolution that is free to consumers.
Time limits may apply to lodge a complaint with AFCA. Please visit the AFCA website or contact AFCA for information about time limits that may apply to your situation.
For full details on our complaints handling procedures, download our comprehensive Complaints Policy document.
The information provided on this page is for general informational purposes only and does not constitute legal or financial advice. While we strive to keep the information up to date and correct, Worldwide Banners makes no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability, or availability of the information contained on this website.
Worldwide Banners Pty Ltd (ABN 97 682 642 735) is an Authorised Representative (No. 1314512) of Capital Guard Pty Ltd, the holder of Australian Financial Services Licence (AFSL No. 498434). Worldwide Banners is authorised to promote and distribute certain financial products on behalf of Capital Guard. All investment products offered on this website are issued by Capital Guard Pty Ltd. For the most current regulatory information, please refer to the ASIC website or contact our compliance team directly.
This Financial Services Guide (FSG) complies with the Corporations Act 2001 (Cth) and ASIC Regulatory Guide 168. Before making any investment decision, you should read the, Target Market Determination (TMD), and seek independent financial advice where appropriate.
Download our comprehensive Financial Services Guide (FSG) for details about our services, how we're paid, and your rights as a client.
WORLDWIDEBANNERS PTY LTD offers professional investment opportunities that combine security, growth, and ethical business practices, backed by ASIC regulation for investors.
AFSL Rep Number: #1314512
Worldwide Banners is a brand name for WORLDWIDEBANNERS PTY LTD. Worldwide Banners Pty Ltd (ABN 97 682 642 735) is an Authorised Representative (No. 1314512) of Capital Guard Pty Ltd, the holder of Australian Financial Services Licence (AFSL No. 498434). Worldwide Banners is authorised to promote and distribute certain financial products on behalf of Capital Guard. All investment products offered on this website are issued by Capital Guard Pty Ltd. Our registered office is at 81-83 Campbell St SURRY HILLS NSW 2010, Australia.
The information contained on this website is general in nature and does not take into account your personal situation. You should consider whether the information is appropriate to your needs, and where appropriate, seek professional advice from a financial adviser.
Past performance is not a reliable indicator of future performance. Investment returns shown are for INFORMATIVE PURPOSES only. They should not be taken as a guarantee of future performance. Actual returns may vary. Target returns are not guaranteed. The value of investments can go down as well as up, and investors may lose some or all of their principal investment.
Worldwide Banners Pty Ltd is authorized to provide general financial product advice and arrange to deal in structured investment products issued by Capital Guard. We do not provide personal advice or consider your financial objectives, situation, or needs.
We comply with the Privacy Act 1988 (Cth) and collect your personal data only for authorized purposes. You can view our complete Privacy Policy and Cookie Policy for more information.
If you have a concern about our services, please submit your complaint to info@worldwidebanners.com.au. You can find our complete Complaints Policy on our website.
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