Compliance Services

Monitoring Scheme Compliance Plans

What it is: Regularly checking if a business’s compliance program is working as intended. This involves reviewing policies, procedures, training materials, and conducting audits.

Why it’s important: Ensures the business is meeting its regulatory obligations, reducing the risk of fines or legal action.

Example: A financial institution regularly reviews its KYC (Know Your Customer) procedures to ensure they are up-to-date with the latest regulations.

Pre and Post Trade Compliance

What it is: Checking trades before they are executed to ensure they comply with regulations (e.g., preventing insider trading). Post trade compliance involves reviewing executed trades for any potential breaches.

Why it’s important: Prevents market manipulation, ensures fair trading practices, and protects investors.

Example: A stockbroker uses software to automatically flag any trades that might violate insider trading rules.

KYC and AML Monitoring

What it is:
  • KYC (Know Your Customer): Verifying the identity of customers to prevent fraud and money laundering.
  • AML (Anti-Money Laundering): Monitoring transactions for suspicious activity that might indicate money laundering.

Why it’s important: Helps prevent financial crimes, protects the integrity of the financial system.

Example: A bank requires new customers to provide identification documents and may monitor their transactions for large or unusual activity.

Liaison with ASIC

What it is: Communicating with the Australian Securities & Investments Commission (ASIC) on behalf of a business. This might involve responding to inquiries, reporting breaches, or seeking guidance on regulatory matters.

Why it’s important: Maintains a positive relationship with the regulator, ensures compliance with ASIC’s requirements.

Example: A financial services company reports a data breach to ASIC and cooperates with their investigation.

Providing Competitive, Reliable income to our investors

Disclaimer

General
This website contains information about us at Rhodes Asset Management Ltd ABN 99 165 917 813, AFSL No. 464772 (Rhodes Asset Management, we, us and our) and the services and products we provide. Rhodes Asset Management is associated with the “Rhodes Financial Group” brand and is a related party to Rhodes Financing Solutions Pty Ltd (ABN 33 651 843 828).

No Advice
Information published on our website is general information only. It should not be construed as personal financial advice or a recommendation to invest or acquire any financial product. We have prepared the information without taking into account the personal objectives, financial situation or needs of any particular individual. We recommend you speak with a qualified financial advisor about the appropriateness of our financial products in light of your own financial objectives and personal circumstances.

Reliance on Product Disclosure Statement & Target Market Determination
Information about any of our financial products is contained in the respective product disclosure statement (PDS) and target market determination (TMD) accompanied by other disclosures we are required to make by law. You may obtain a copy of the PDS & TMD on our website or by emailing us at investors@rhodesam.com.au. You should not rely on any information that is not published by us.

Investment risk & Past Performance
There are risks associated with an investment in a managed fund. Whilst we endeavour to exercise due diligence and care in our conduct, we do not provide guarantees on any invested capital or the investment performance of the underlying managed fund. Past performance of any managed fund described on our website is not a reliable indication of future performance.

Eligibility Check

Important Information This eligibility check is provided for information purposes only. It does not constitute financial advice and does not confirm eligibility to invest. Eligibility is assessed at the time of application in accordance with the Corporations Act and the Fund’s Product Disclosure Statement (PDS).
Which best describes you?
Do you believe you qualify as a Wholesale Client under the Corporations Act?
"Wholesale Clients generally include investors with net assets of at least $2.5 million or gross income of $250,000 per annum for the past two financial years (certified by a qualified accountant)."
What investment amount are you considering?
Please confirm you understand and acknowledge the following:

Which of the following subclasses would you like to invest in?

Retail Class

Standard Subclass
Minimum Investment = $5000

Enhanced Subclass
Minimum Investment = $100,000

Wholesale Class
Minimum Investment = $250,000

Disclaimer

*Terms & conditions apply. Please note that past performance is not a reliable indicator of future performance. This investment is not a bank deposit and carries risk. Refer to the PDS available on our website for full details. All distribution rates quoted above are net of fees and are the prevailing rates as of 01/09/2026. Distribution rates are updated monthly, usually at the start of each month. Check our website for current distribution rates. We do not provide guarantees on any invested capital or the investment performance of the Premium Income Fund.

# The Wholesale subclasses are only available to qualifying wholesale investors, with a minimum investment of $250,000. Contact us for further details. Please refer to the Wholesale-Memorandum of Terms and Conditions (MOTC).

^The rate is fixed for 12 months.

Please fill in your details to request an Investment Summary

Please fill in your details to request a copy of the
Premium Income Fund PDS & Application Form

The Premium Income Fund is suitable for investors who are:
> Seeking regular income
> Comfortable with a medium level of risk
> Seeking a medium timeframe (1-3years)
> Intending to allocate less than 25% of their total investment portfolio to this investment.

Terms & Conditions

Investors should obtain and read a copy of the Product Disclosure Statement (PDS) before making an investment decision.

The Premium Income Fund is open to Australian residents only. Investments can be accepted on receipt of the application form accompanying the PDS, or by completing our online application via the link on  our website.

You agree that the information on this website and any documents provided are of a general nature only and do not take into account your particular circumstances, do not consider your personal financial or investment needs, and should not be taken to be financial or legal advice. You should consider whether the investments are suitable for you or seek personal advice from a licensed financial planner before making an investment decision. Neither the repayment of capital nor the forecast returns for this investment are guaranteed.

Rhodes Asset Management Ltd ACN 165 917 813 holds Australian Financial Services License (AFSL) 464772.

An investment in the Fund is not a bank deposit and is subject to investment risk, including the loss of capital invested.

Withdrawal rights are subject to liquidity and may be delayed or suspended.