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CapXcentric Code of Ethics and Conduct

This Code of Ethics and Conduct outlines CapXcentric’s commitment to regulatory compliance, transparency, professionalism, and founder empowerment in the capital-raising process. While CapXcentric is not legally required to produce or publish this Code, we choose to do so to demonstrate our commitment to the highest ethical standards and to set an example for others in the startup advisory industry.

By adhering to this Code, we aim to provide founders with confidence and clarity in their capital-raising journey, promoting transparency and integrity in all our interactions.

1. Founder-Centric Approach

1.1 Compliance with AFSL Obligation

At CapXcentric, our top priority is the success of the founders we work with.

  • We empower founders by providing guidance, education, and tools to build lasting fundraising capability.

  • We limit our client intake to ensure high-quality, tailored support for each founder.

  • Our services focus on empowering founders to lead their capital-raising process while receiving expert coaching and preparation at every step.

 

We focus on building your confidence and capability so that you can represent your vision to investors authentically and powerfully.

2. Client Engagement Process

We believe that transparency and clear communication form the foundation of strong client relationships.

2.1 Engagement and Scope of Services

  • We clearly define the scope of work, services, and fees upfront to ensure mutual understanding and avoid misunderstandings.

  • We provide founders with documentation detailing the nature of our general advice and how we support their capital-raising goals.

2.2 Clear Distinction Between General and Personal Advice

  • We provide general advice only and do not offer personal financial product advice.

  • Our guidance is designed to provide education and general insights rather than specific recommendations tailored to individual financial circumstances.

Our general advice may include explaining funding pathways, capital structure options, and how to prepare for investor discussions, but we do not provide product-specific financial advice or portfolio recommendations.

We believe in empowering you to make informed financial decisions, rather than creating dependency on external advisors.

3. Fee Structure and Financial Responsibility

We believe in fair and transparent fees that align with client outcomes.

3.1 Fair and Balanced Fee Structure

  • We charge an affordable retainer fee and a lower-than-industry-standard success fee.

  • Success fees only apply when CapXcentric has played a material role in securing funds, avoiding unfair claims over independent fundraising efforts.

3.3 Regulatory Requirements for Fee Disclosure
 

  • All fees are disclosed upfront in writing to comply with regulatory requirements.

  • Any changes to the fee structure are communicated promptly and agreed to by the client.

4. AFSL Requirements Integrated into Service Delivery

CapXcentric operates as a Corporate Authorised Representative of True Oak Investments Pty Ltd (AFSL 238184) and provides services exclusively to wholesale clients as defined by the Corporations Act 2001 (Cth).

4.1 General Advice Only

  • We do not provide personal financial product advice.

  • Our general advice is designed to guide companies (through their founders and directors) in understanding capital-raising processes, structures, and investor engagement strategies.

  • We do not tailor advice to the specific financial objectives, situations, or needs of any individual.

Our services focus on education and general advice, empowering your company to make its own informed choices.​

5. Professional Standards and Conduct

We are committed to maintaining the highest levels of professionalism in all interactions.​

5.1 General Conduct

  • CapXcentric commits to acting honestly, fairly, and efficiently in all interactions with clients, investors, and third parties.

  • We avoid misleading or deceptive conduct, ensuring that all communications are truthful and not exaggerated.

5.2 Conflict-Free Advice

  • We do not accept referral fees, commissions, or financial incentives from investors or third-party service providers.

  • Our sole focus is providing impartial advice that serves the founder’s best interests.

5.3 Confidentiality and Data Security

  • We uphold the confidentiality of all client information in compliance with the Privacy Act 1988 (Cth) and relevant privacy principles.

  • Sensitive documents and communications are securely stored and shared only with authorised parties.

6. Foundational Principles of Regulatory Compliance

CapXcentric complies with all key obligations under the Corporations Act 2001 (Cth) and regulations enforced by the Australian Securities and Investments Commission (ASIC), including:

  • General Conduct Obligations: We act honestly, efficiently, and fairly.

  • Best Interests Duty: We provide services that align with the best interests of our clients (Section 961B).

  • Avoidance of Conflicts of Interest: We disclose any potential conflicts of interest and act in the interests of the client.

  • Professional Indemnity Insurance: We hold financial services insurance to protect clients and ensure compliance.

7. Continuous Improvement

CapXcentric is committed to continuous improvement by:

  • Engaging in ongoing professional development to stay informed of industry and regulatory changes.

  • Gathering client feedback to adapt our services and enhance client experiences.

We actively seek feedback to ensure that our services remain relevant, effective, and aligned with your evolving needs.

By voluntarily adhering to this Code of Ethics and Conduct, CapXcentric demonstrates its commitment to ethical service delivery, AFSL compliance, and the highest professional standards in the Australian startup advisory ecosystem.

Aussie Startup Capital Raising

Melbourne, Australia

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Excentricity Pty Ltd, trading as CapXcentric (ABN 42 679 978 959, AFS Representative No. 001311296) is a Corporate Authorised Representative of True Oak Investments Pty Ltd (ABN 81 002558 956, AFSL 238184). Any information about the financial products and financial services available from or through CapXcentric on this website is general information only and does not take into account your personal objectives, financial situation or needs. Please have regard to your own circumstances and consider seeking specific advice from your professional advisers. 

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