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ASX Announcement 3 November 2021

Investor Presentation

Complii FinTech Solutions Limited (CF1.ASX) is pleased to release a copy of its latest investor presentation.

This announcement is authorised by the Board of Complii Fintech Solutions Limited.

- ENDS -

For more information please contact:

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Craig Mason Executive Chairman 0437 444 881 [email protected]

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Alison Sarich Managing Director (02) 9235 0028 [email protected]

Complii FinTech Solutions Ltd

www.complii.com.au [email protected] Telephone: 02 9235 0028

ABN 71 098 238 585 Level 6, 56 Pitt Street, Sydney NSW 2000

Investor Presentation November 2021

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Business Overview

A digital platform providing an electronic centralised framework to manage AFSL (Stockbroker/Financial Planner/Adviser) centric workflows for compliance, capital raising and operational efficiencies. Introducing a new platform for trading unlisted securities

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103+ Investment and advisory firm clients

10,500+ Number of users & Network Members

110,000+ Number of Investor subscribers

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$14.6 b Capital raised through AdviserBid in FY21

383 Companies on PrimaryMarkets Platform since commencement

119 Investor Network Countries via PrimaryMarkets Platform

Investor Network Countries

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73%
Complii Annual Recurring
Revenue Increase
in FY21
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Business Overview

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The Complii customisable software
provides a single desktop solution
to meet business, compliance and
operational needs at organisation,
adviser, client and investor levels.
PrimaryMarkets acquisition means
Complii Group now provides a
global trading platform for unlisted
securities.
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Product Highlights include:
Client account creation with automatic AML checking Back Office Integration – Full client view and
access including reporting
Automates, records and reports on regulation obligations by profiling and ensuring ongoing compliance
is carried out at both client and organisational levels.
Automated end-to-end capital raising solution from live client and/or adviser bidding, offer letter
generation and electronic client acceptance for both retail and institutional clients.
Global Trading Platform for Unlisted Securities - Private Trading Hubs, Secondary Shares and
Unicorns
E-learning and CPD management inline with FASEA requirements
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Complii Completes Acquisition of PrimaryMarkets (3[rd] Nov 21)

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Customer Offerings
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Significant Increase in Investor Network

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Large Database of Sophisticated Members - Expansion of current customer offering Diversification of Revenue with a Higher Margin Additional revenue streams

Market Leading Technology

State of the art online trading platform for unlisted companies

Servicing both Public and Private Markets 1[st] full end to end service offering

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PrimaryMarkets Offering

PrimaryMarkets provides a Global Trading Platform for Private Companies

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Liquidity & Monetisation

Ability for shareholders/directors/founders to sell down positions

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Global Investor Base

Enhances connectivity and brand awareness

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Access to New Capital

Access to active investors in private markets

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Significant Time/Cost Savings

Significantly cheaper and faster than listing on ASX

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Cornerstone Investors

Private equity looking to take cornerstone investment positions

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ASX Company Offering

Captured Investor base provides effective way to promote company

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Diversification of Shareholders

New shareholders diversity Expansion of shareholder base and investor spread pre-IPO

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Employee Benefits

Allow employees to monetise their equity anytime and to incentivise/attract new talent

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Pro Forma Group Profit and Key Highlights Loss – FY21 & Q1 FY22

Complii Group Complii FY21 Q1 FY22 – Consolidated for PM Financials Revenue $2,721,358 $1,760,587 ** Expenses $6,915,598 $2,179,925 Net Profit ($4,194,240) $(419,339)

Source:

**Group Revenue – Allocation – Q1 FY22 ***
Quarter 1 FY22 unaudited management accounts of Complii & PrimaryMarkets
FY21 Audited Financial Accounts
** Excludes R&D Grants for Quarter 1 FY22

Key Financial Highlights

**Customer Offerings Complii Revenue Increase ***

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Excludes PrimaryMarkets FY21 Revenue

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Complii Group & Product Offering

Digital software platform designed to automate, record and report on compliance obligations

Secure portal with inbuilt advisor messaging that provides access to portfolio, ledgers and account balance

Automated distribution of corporate deals for bidding and electronic bid acceptance

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A Risk Management Platform, creating objects and associated workflows, designed to identify and mitigate risks

Know your client and monitor trading activity, with alerts to suspicious trading and screening of investors

In Development

(Dec 21)

Establish new client accounts, KYC checks and automated broker account opening

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A platform enabling the
trading of securities in
unlisted companies.
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(Dec 21)
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(Mar 21)

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Electronic Client Engagement /
Fact Find & Step-by-step guide
for Paraplanning requests
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Aggregates CPD content from over 200 financial services content providers and manages Adviser CPD obligations

(Apr 21)

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Unique Competitive Offering

Complii’s Product competitive advantages sets it apart from other market offerings

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Modular Extensive Automated Flexible iOS/Android
design functionality workflow API APP
Pay for what Works for financial Huge Administrative Integrates data White labelled
you use advisers Savings sources – Cut to fit Secure account access
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Positioned for Growth

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Group Customer Expansion Complii + PrimaryMarkets

Customer Examples

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Mandated Change For the Financial Advice Sector

Improved Compliance Standards Driven by the FASEA and the Financial Services Royal Commission (2017-19) and continuous ongoing changes to AFSL obligations

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INCREASED REGULATORY OBLIGATIONS
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CHANGING LANDSCAPE
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Increased control to the quality of advice

Greater competition reducing service fees

Non conflicted advice and independent systems

Increased regulations = Increased cost structure

Full disclosure with clear and precise client documentation

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Demand for digital solutions to reduce cost and improve operational efficiency

Licencing, ethics and training standards

ASIC and financial services industry collaborating to evolve digital strategy

Wholesale

Investor qualifications

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Group Growth Strategy

Growth strategy is a layered approach, to build recurring subscription revenue

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Continue to Grow
Engagement with
Stock Brokers
Corporate Advisory Firms
Wealth Managers
Financial Planners
Banks
International
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Organic Growth via
Cross-Module Sales
Ensure existing clients are
aware of the full suite of
products to enhance
operational and
administrative efficiencies
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Corporate Growth
Acquisition of complementary
technology and integrated
services
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Shareholding Post Transaction

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12.30% Founders of Complii
Complii Board and Management
15.80%
PrimaryMarkets Management
67.75% 4.15%
Others
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Total Shares on Issue = 410.15M

Corporate Information

Capital Structure Post Transaction (Indicative)

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Description Amount
ASX Code CF1
Share price (2 Nov) $0.056
Shares on Issue 410.15M
Market Capitalisation $22.56M
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PrimaryMarkets shareholders to represent circa 25% . of post transaction shareholding in Complii

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Craig Mason Executive Chairman

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Alison Sarich Managing Director

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Gavin Solomon Executive Director

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Nick Prosser Non-Executive Director

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Greg Gaunt Non-Executive Director

Group Company Board

Craig has over 30 years’ experience in the finance industry in various capacities and has been involved in guiding transformational changes in financial Advisory administration which have shaped the industry over this time. As a former Chairman of Pershing Securities Australia Ltd, Craig has a demonstrable track record in building market leading businesses in financial services administration.

Alison brings strong relationship management and operations experience in the finance industry to the everyday running of Complii. Prior to joining Complii, Alison worked at Pershing Securities Australia. Working alongside Craig Mason at Pershing she has firsthand experience in driving a financial services firm to become an industry leader.

Gavin founded PrimaryMarkets in 2016. As Executive Chairman of PrimaryMarkets, Gavin has overseen the platform’s growth culminating in the Complii Group’s acquisition. He has 35 years experience in Australian and Asian equity markets and was previously the Managing Director of Helmsec Global Capital, an ECM group responsible for raising >$1.7B between 20082015.

Nick is a fintech specialist with over 20 years experience. He was the founder of ThinkCaddie, a business which offers and manages continuous professional development (CPD) training for financial advisors which is now a wholly owned subsidiary of the Complii Group. Nick is currently a Non-Executive Director of ASX-listed health technology business Advanced Human Imaging Ltd (ASX: AHI).

Greg is a former Executive Chairman of the law firms Lavan and HHG Legal Group and possesses longstanding experience in the management of law firms where he attained broad business experience across many different sectors. Greg graduated from the University of Western Australia and currently sits on the Curtin Business School Asia Business Advisory Board and the Advisory Board of the Catholic Development Fund.

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Contact Information

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Alison Sarich Managing Director

Craig Mason Executive Chairman

Lucas Robinson

Investor Relations

Complii Fintech Solutions 0488 327 688

Complii Fintech Solutions 0437 444 881

Corporate Storytime 0408 228 889

[email protected] www.complii.com.au

[email protected]

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This presentation has been prepared by Complii FinTech Solution Ltd (“Complii” or the “Company”) based on information available to it as at the date of this presentation. The information in this presentation is provided in summary form and does not contain all information necessary to make an investment decision.

This presentation does not constitute an offer, invitation, solicitation or recommendation with respect to the purchase or sale of any security in Complii, nor does it constitute financial product advice or take into account any individual’s investment objectives, taxation situation, financial situation or needs. An investor must not act on the basis of any matter contained in this presentation but must make its own assessment of Complii and conduct its own investigations. Before making an investment decision, investors should consider the appropriateness of the information having regard to their own objectives, financial situation and needs, and seek legal, taxation and financial advice appropriate to their jurisdiction and circumstances. Complii is not licensed to provide financial product advice in respect of its securities or any other financial products. Cooling off rights do not apply to the acquisition of Complii securities.

Although reasonable care has been taken to ensure that the facts stated in this presentation are accurate and that the opinions expressed are fair and reasonable, no representation or warranty, express or implied, is made as to the fairness, accuracy, completeness or correctness of the information, opinions and conclusions contained in this presentation. To the maximum extent permitted by law, none of Complii, its officers, directors, employees and agents, nor any other person, accepts any responsibility and liability for the content of this presentation including, without limitation, any liability arising from fault or negligence, for any loss arising from the use of or reliance on any of the information contained in this presentation or otherwise arising in connection with it.

The information presented in this presentation is subject to change without notice and Complii does not have any responsibility or obligation to inform you of any matter arising or coming to their notice, after the date of this presentation, which may affect any matter referred to in this presentation.

The distribution of this presentation may be restricted by law and you should observe any such restrictions.

Disclaimer

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Forward looking statements
This presentation contains certain forward looking statements
that are based on the Company’s management’s beliefs,
assumptions and expectations and on information currently
available to management. Such forward looking statements
involve known and unknown risks, uncertainties, and other
factors which may cause the actual results or performance of
Complii to be materially different from the results or
performance expressed or implied by such forward looking
statements. Such forward looking statements are based on
numerous assumptions regarding the Company’s present and
future business strategies and the political and economic
environment in which Complii will operate in the future, which
are subject to change without notice. Past performance is not
necessarily a guide to future performance and no
representation or warranty is made as to the likelihood of
achievement or reasonableness of any forward looking
statements or other forecast. To the full extent permitted by
law, Complii and its directors, officers, employees, advisers,
agents and intermediaries disclaim any obligation or
undertaking to release any updates or revisions to information
to reflect any change in any of the information contained in
this presentation (including, but not limited to, any
assumptions or expectations set out in the presentation).
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AI assistant

COMPLII FINTECH SOLUTIONS LTD Investor Presentation 2021

64639_rns_2021-11-02_42993d1f-4c92-4b37-b4c5-88287ad90859.pdf