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ASX Announcement 3 May 2021

Investor Presentation

Complii FinTech Solutions Limited “Complii” (CF1.ASX) is pleased to release an investor presentation featuring updates on the recent client signings, product releases and the strategy for growth.

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 Executive 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

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Investor Presentation May 2021

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Complii FinTech Business Overview

We are a digital platform which provides an electronic centralized framework to manage AFSL (Stockbroker/Financial Planner/Adviser) centric workflows for compliance, capital raising and operational efficiencies.

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90+ 3,500+ Investment and advisory Number of firm clients users

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$6.2 b Capital raised through AdvisorBid in 2020

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$ 3.3 b

Raised through AdvisorBid in March Q 2021 via 679 deals

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The Complii customisable software
provides a single desktop solution
to meet business, compliance and
operational needs at organisation,
adviser and client levels.
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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.
E-learning and CPD management inline with FASEA requirements
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Complii FinTech Strong Momentum in March Q

75% Revenue Growth Q on Q with Costs Steady

Third Party Validation from leading ASX broker AUSIEX

8 New clients signed since ASX listing on 17 December 2020 & 7 in Q3 FY21.

Strong Uplift in ARR during Q

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The The 75% increase in group revenue receipts75% increase in group revenue receipts quarter on quarter quarter on quarter does not includedoes not include any licence revenue from any license revenue from
AUSIEX, who will be onboarded during the June 2021 Quarter. AUSIEX, who will be onboarded during the June 2021 Quarter.
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Complii FinTech Positioned for Growth

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

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Modular Extensive design functionality Pay for what Works for financial you use advisers

Automated workflow Huge Administrative Savings

Flexible iOS/Android API APP Integrates data White labelled sources – Cut to fit Secure account access

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Sales Growth
FinTech digital solution and service provider
Revenues primarily though recurring subscription fees
Fees charged on a module and user basis
Ongoing R&D, investing in new modules and expanded services
Positioned for accelerated growth in new customers and upselling
Strong pipeline, 9 new distinct clients signed since June 2020
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Complii Signs Agreement With AUSIEX (Live date 3[rd] May 2021)

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Deal signed to AUSIEX, previously a provide services to subsidiary of leading ASX broker Commonwealth Bank AUSIEX of Australia (CBA), now wholly owned by Japanese investment house Nomura Holdings Inc

AUSIEX is one of Australia's most wellknown providers of ASX execution, settlement and portfolio administration services

Validates technology and confirms Complii's status as a leading fintech provider to AFSLs

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Existing Customers

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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 )

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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

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 Products

Product suite solves the compliance and administration burden for AFSL holders

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

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

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Automated distribution of corporate deals for bidding and bid electronic acceptance

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Aggregates CPD content from over 200 financial services content providers and manages Adviser CPD obligations

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

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Financial Planning includes electronic KYC and Investor Risk Profiling, Paraplanning and Admin services

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New Module – Launched 3[rd] May 2021 Financial Crimes Monitoring

Complii is ensuring that AFSL's can be confident that suspicious

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Maintain customer account detail Unusual activity reporting and screening history activity Alerting and case management Customer risk assessment workflow management and scorecard escalations Configurable scoring calculation Dynamic uploads from files, API’s and integration to third party Dynamic scanning frequency to Financial Crimes global databases profile customers against: Audit logging, data exports and Internal lists reporting External databases, using matching logic and tolerances Dashboard and search capability

Internal lists
o External databases, using matching logic and tolerances

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New Module – Launched 3[rd] May 2021 Risk Management

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Configurable multi-level hierarchy and dynamic object creation, linkage

Risk management objects and associated workflows, core include :

o Obligations o Test Plan o Risks o KRI o Controls o Additional objects o Tests

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Issue management workflow, core includes:

Action Items Escalation Remediations Additional objects

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Regulatory case management and reporting Escalations to management

Audit logging, data exports and reporting

Task management, ownership, KPI reporting

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Incident management workflow, core includes :

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Dashboards heatmaps and search capability

o Impacts o Escalation o Rectification tests o Additional objects

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Electronic Compliance System

Base Complii

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Client Portfolio, Orders and Contract Notes

o Account Details,

o Ledger with CMA balances

Electronic KYC and Investor Risk Profile

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SOA, ROA Generation

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Client records – storage and account auditing

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708 (8), (10), (11), (12) Wholesale Register

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Fee Disclosure Statement creation and Electronic Opt-In

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Chinese Wall Register, COI/Disclosure/Breach Register, Complaints Register, Incident Register Document Library

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CRM

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o Strategic Client Reviews

Complii Email and external email plus phone communication management

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Advisor Bid/Corporate Offer Letters

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Advisor Bid allows corporate deals to be distributed to advisors to bid on the deal and successful bids can be automatically sent to

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Term Sheet Builder

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Automated scale backs including pro-rata calculations

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Electronic and real time Adviser bidding

Electronic and real time Client bidding

Facilitates;

Two Tranche Deals
Options

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708(10) (Experienced Investor) electronic declarations/ and branch manager approval

Automated offer letter generation

  - Electronic Client Acceptance

  - Electronic Institutional DVP card form

Convertible Notes
Bookbuilding/Price discovery
Multiple Component Deals –
e.g. Accelerated Non Renounceable Rights Issues

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Bookings and Journal template auto-generation

Registry Template Auto-generation

Complii’s Corporate Highway – Access to exclusive Broker Deals

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Avoids traditional paper based offer and acceptance requiring signatures and settlement instructions
Generates huge efficiencies for back-office and corporate advisory staff
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Account Fast is a new account opening App which allows client accounts to be
established on the go
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Client account is automatically created in the Back Office System

Mobile application and Desktop version available

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Create new accounts on the go via the APP version

Automatic compliance documentation sent to clients (Application forms, profiling forms, T&Cs and FSGs)

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Take a photo of the clients AML documentation and e-verifies ID for AML

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Administration review and post update of client details which flow into the back office

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Client and Client digital Signatures

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Back Office Account Opening documentation is pre-populated

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Clients AML documentation automatically appends to client account files within Complii (no data upload required)

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Account Fast

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Client Portfolio Portal

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Client Portfolio Portal allows clients to log on securely to view their
portfolio, ledgers, account balance, manage assets, update their client
profile online, print end of financial year statements and contract notes,
watch live prices and add stocks to watch lists etc.
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Clients can also:

Update KYC and Investor Risk Profiles

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Manage all assets outside of direct equities

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Secure Client and Adviser messaging system

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View Capital and manage Capital Raising activity View Company Research

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Electronic Direct Marketing Facility

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Administration pop up messaging

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Think Caddie is a new platform that helps advisers and AFSLs meet their
legislated CPD obligations by aggregating CPD content relevant to the
industry from more than 200 financial services content providers
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Track e-learning and CPD progress Developed in line with FASEA requirements

Upload external material and training Event/conference registration and attendance & CPD management

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Verified Industry Specific Relevant Content for;

Up-to-date content from leading financial services content providers

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o AFSLs o Broker Dealer

Individual Training Plan set up

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o Responsible Managers o Securities

Transfer of users historical training from other vendors

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Upload and administer in house training

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Upload and administer Company policies to ensure staff acknowledgement and understanding

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Think Caddie

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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

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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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Banks

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International

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Corporate Overview (as at 30[th] April 2021)

Complii business (the “Group”) strategy is an integrated digital compliance and capital raising service to the Financial Services industry

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7.88%
7.36%
9.8%
74.96%
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Mr Anthony Cunningham Mr Jason Peterson Board/Management Other

ASX code	CF1
Share price	$0.040
Market capitalisation	$11.96m
Enterprise Value	~$7.44m
Shares on issue	299.15m
Options on issue	82.33m
Performance rights on issue	29.25m
Cash as at 31 March 2021 (with no debt)	$4.52m

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.
Board and management have "skin in the game" and have been adding to shareholdings on market
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Craig Mason
Executive Chairman
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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.

Group Company Board

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Alison Sarich
Managing Director
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Greg Gaunt
Non-Executive Director
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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.

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.

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

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]

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_2021-05-02_1dc858e7-9415-4400-86da-3202f9b9d67e.pdf