Financial Services Guide

Wholesale clients only. Synergy Australia Capital Pty Ltd provides financial services only to wholesale clients, as defined in sections 761G and 761GA of the Corporations Act 2001 (Cth). This guide is not intended for, and the services it describes are not available to, retail clients.

01About this guide

This Financial Services Guide (FSG) explains who we are, the financial services we are authorised to provide, how we and our associates are paid, the relationships that could influence our services, and how to make a complaint. Please read it before you use our services.

In this guide, "Synergy", "we", "us" and "our" mean Synergy Australia Capital Pty Ltd. "DG International" means DG International Co Limited, a Hong Kong company, and its related entities.

02Who we are

Synergy Australia Capital Pty Ltd (ABN 95 626 401 910) holds Australian Financial Services Licence No. 519082 and is responsible for the financial services it provides under that licence. Synergy is owned by DG International, a boutique investment bank founded in Hong Kong in 2009 that provides cross-border M&A advisory, capital markets, family office and private credit services.

Synergy operates from 50 Walker Street, North Sydney NSW 2060, Australia.

03Who we provide services to

We only provide financial services to persons who qualify as wholesale clients under the Corporations Act. Depending on the circumstances, this can include professional investors, sophisticated investors who hold a current qualified accountant's certificate, clients investing amounts above the statutory threshold, and businesses that are not small businesses. Before we provide a service, we will ask you to confirm, and where required evidence, that you are a wholesale client.

Because our clients are wholesale clients, we are not required to give you a Product Disclosure Statement or a Statement of Advice. Offers of financial products will usually be made under an information memorandum or other offer document.

04Financial services we are authorised to provide

Within the authorisations of AFSL 519082, Synergy may:

• provide general financial product advice to wholesale clients; and
• deal in financial products for wholesale clients, which may include arranging for, or issuing, financial products.

In practice these services support DG International's family office, offshore trust and private credit activities, including special situations and distressed asset investments in Australia and the United States.

05General advice warning

Any advice we give is general advice only. It does not take into account your objectives, financial situation or needs. Before acting on it, you should consider whether it is appropriate for you, read any offer document for the relevant financial product, and seek independent financial, legal and tax advice.

06How we are paid

Depending on the service, Synergy and other DG International entities may receive:

• Advisory fees negotiated with you and agreed in writing, such as retainers and success fees;
• Management and performance fees on funds, trusts or mandates we manage or arrange, such as a fee based on assets under management and a fee based on returns; and
• Placement and arranging fees from issuers or borrowers when we arrange capital raisings or credit.

The amount of each fee, or how it is calculated, will be set out in your engagement letter, mandate or the relevant offer document before the service is provided. Any other fee, commission or benefit that Synergy, its representatives or DG International receive in connection with a service provided to you will be disclosed to you in writing.

07Relationships and conflicts of interest

Synergy is owned by DG International. DG International and its partners may provide advisory services to, invest alongside, or receive fees from, parties connected with a transaction or product we arrange for you. We maintain arrangements to identify and manage conflicts of interest, and we will tell you about any material relationship or interest that could reasonably be expected to influence the service we provide to you.

08Complaints

If you have a complaint about our services, please contact us first so we can try to resolve it:

• Email david@dginternational.net with the subject "Complaint";
• Call +61 478 915 888; or
• Write to the Complaints Officer, Synergy Australia Capital Pty Ltd, 50 Walker Street, North Sydney NSW 2060.

We aim to acknowledge your complaint within one business day and to give you a written response within 30 days.

Because Synergy provides financial services to wholesale clients only, it is not required to be a member of the Australian Financial Complaints Authority (AFCA). You may also contact the Australian Securities and Investments Commission (ASIC) on 1300 300 630 or at asic.gov.au for information about your rights.

09Compensation arrangements

The compensation arrangement requirements in section 912B of the Corporations Act apply to licensees that provide financial services to retail clients. Because Synergy provides financial services to wholesale clients only, those requirements do not apply to it.

10Your privacy

We collect personal information to provide our services, to verify your identity and wholesale client status, and to meet our obligations under Australian law, including anti-money laundering and counter-terrorism financing laws. We handle personal information in accordance with the Privacy Act 1988 (Cth). You may ask to access or correct the personal information we hold about you by contacting us using the details below.

11Contact us

This Financial Services Guide is issued by Synergy Australia Capital Pty Ltd (ABN 95 626 401 910, AFSL 519082). Version 1.0, dated 14 October 2026. It replaces any earlier version.