Licensing & Compliance

1. Our Commitment to Regulatory Integrity

Compliance is at the heart of everything we do. Whether providing fixed income investments, private equity access, or wealth management services, ARC adheres to all legal and regulatory obligations within each jurisdiction in which we operate. We maintain robust internal frameworks to ensure all activities are conducted lawfully, ethically, and transparently.

2. Licensed Services in Australia

ARC Capital Venture (Australia) Pty Ltd

• ABN: 97 687 134 121
• ACN: 687 134 121
• Registered Address: Level 27, 101 Collins Street, Melbourne VIC 3000, Australia
• Corporate Authorised Representative (CAR) No.: 001315577
• Authorised Representative of: Titan Securities Pty Ltd – AFSL No.: 307040

As a Corporate Authorised Representative under an Australian Financial Services Licence (AFSL), we are licensed to offer the following services to retail, wholesale, and corporate clients:

• General financial product advice
• Dealing in financial products such as:
  • Fixed income securities (e.g., bonds)
  • Private equity placements

Our compliance with the Corporations Act 2001 (Cth) and the regulatory guidance of the Australian Securities and Investments Commission (ASIC) ensures that clients receive services that meet the highest standards of conduct, disclosure, and responsibility.

ARC Capital Venture Clients Pty Ltd

• ABN: 84 687 141 859
• Purpose: This entity is a wholly owned subsidiary of ARC Capital Venture (Australia) Pty Ltd.

3. U.S. Regulatory Exemption Status

ARC Capital Venture, LLC

• Head Office: 10 South Riverside Plaza, Suite 875, Chicago, IL 60606
• Registered Office: 3838 N Central Avenue, Suite 900, Phoenix, AZ 85012
• Entity ID: 23132678
• Founded: 2nd October 2020

In the United States, ARC operates under exemptions from registration pursuant to Section 4(a)(2) and Rule 506(b) of Regulation D under the Securities Act of 1933. We do not publicly advertise or solicit investment opportunities and offer services exclusively to accredited and institutional investors.

Only the following services are provided by our U.S. entity:

• Fixed income investment offerings
• Private equity investment opportunities

4. Internal Compliance Framework

To maintain a high standard of integrity and risk management, we implement and continuously review our internal compliance systems. These include:

• Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) policies
• Conflicts of Interest Management (see our dedicated PDF)
• Staff training and policy education
• Ongoing compliance monitoring and incident escalation
• Client identity verification protocols
• Recordkeeping obligations under ASIC RG 104 and RG 166

We conduct regular internal audits and work with our AFSL licensee to ensure that all compliance responsibilities are met.

5. Dispute Resolution and AFCA

Please contact Australian Financial Complaints Authority (AFCA).

If you have a complaint:

• Internal Review: Contact our Client Services or Compliance Team
• Escalation: If unresolved, you may contact AFCA

AFCA Contact Details:

• Website: www.afca.org.au
• Phone: 1800 931 678

We are committed to resolving disputes fairly, transparently, and in accordance with legal timeframes.

6. Important Regulatory Disclosures

All key regulatory documents and disclosures relevant to our operations, such as our Financial Services Guide (FSG), Conflicts of Interest Policy, Privacy Policy, and Risk Warning, are available for download on our Forms & Documentation page. Clients are encouraged to review these materials to better understand our obligations, your rights, and the terms under which our services are provided.

7. Licensing & Compliance Contact

For licensing, regulatory, or compliance-related queries, please contact:

Compliance Team
ARC Capital Venture (Australia) Pty Ltd
Address: Level 27, 101 Collins Street, Melbourne VIC 3000, Australia
Phone: +61 3 9998 0440
Local Call: 1300 764 230
Email: info@arc-capital.com