1 of 29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
• Wewillactivateyournewtradingaccountwith5-7daysofreceivingyoursignedapplicationandsupportingdocumentation
• Youwillreceiveemailnotificationfromusonceyouraccounthasbeenestablished
• PleaseensurethatyouhavemadeanoteofyourUsernameandTemporaryLoginPasswordsothatyoucanaccessyoursharetradingaccountassoonasithasbeenactivated.YoumustmakeareasonableattempttodisguiseyourUsernameandTemporaryLoginPasswordifyouwriteitdown–thatisscramblethedetailsinsuchawaythatotherswillnotbeabletodecodeit
• PleasereadtheTerms&Conditionsattachedtothisapplicationformbeforecompletingthisform
PLEASE START HERE
• Identification:
– We’rerequiredbylawtoidentifyapplicants.ApplicantswhoARE NOTexistingclientsneedtosupplyoriginalcertifiedphotocopiesofacceptableidentificationdocuments;
– Proofofidentificationdocumentsmustbeintheexactsamedetailsprovidedinthisapplication;
– IfidentificationisconductedbyanAdviser,aphotocopymustbemadefromtheoriginaldocumentandincludeastatement“Thisisatruecopyoftheoriginaldocument”(orsimilarwording)andtheagentssignature.Thephotocopymustbereturnedwiththisapplicationform.
• PleasenoteallfieldsareMANDATORYtocompletewithineachrequiredsectionunlessotherwisespecified
Pleasereturntheoriginalapplicationform,faxandemailwillnotbe accepted.
APPLICATIONINSTRUCTIONSApplicant Type Mandatory Sections
to completeOptional Sections
Instructions
IndividualAccountName(example):PeterJohnBrownNo Account Designation or Trust
(1,2,7,10) (9,11) asapplicable
Usefullgivenandlastnamesofindividual.Whosigns:Individual
JointAccountName(example):PeterJohnBrown&SusanAliceBrownNo Account Designation or Trust
(1,2,3,7,10) (4,9,11) asapplicable
UsefullgivenandlastnamesofindividualsWhosigns:Allindividuals
CompanyAccountName(example):BokumPtyLtdNo Account Designation
(1,2,3*,5,7,10)*ExceptifSoleDirector/Secretary
(4,9,11) asapplicable
UsefullcompanynameWhosigns:Atleast2companyofficers(2Directors,or1Directorand1Secretary)orSoleDirector/Secretary.
Trust - Individual as TrusteeAccountName(example):PeterJohnBrown&SusanAliceBrownAccountDesignation:BrownFamilyA/C
(1,2,3,6,7,10) (4,9,11) asapplicable Thewords“astrusteefor”or“trust”shouldnotbeused.
Usename(s)oftrustee(s)orcustodian(s)insteadoftrustname,fundnameornameofminor.ForSuperannuationFund,“S/F”shouldbeusedinplaceof“SuperFund”.Whosigns:Alltrustees
Trust - Company as TrusteeAccountName(example):BokumPtyLtdAccountDesignation:BokumFamilyA/C
(1,2,3*,5,6,7,10)*ExceptifSoleDirector/Secretary
(4,9,11) asapplicable
Documentation RequiredAll Applicants
• Originalcertifiedphotocopyofidentitydocumentsfornewclients
• Copy(s)ofyourIssuerSponsoredHoldingStatements(ifapplicable)
Foreign Applicants
• Originalcertifiedcopyoforiginalcertificateofregistrationissuedbytheforeignregistrationbody(ifforeigncompanynotregisteredwithASIC)
Trusts
• Originalcertifiedphotocopyofanup-to-dateextractoftheTrustDeed.Extractshouldincludepageswhichshowthetrustname,thetrustee’sname(s)and;showthetrustee’ssignature(s)withwitnesssignatures(ifformaltrust)
Minors
• Ifapplyingforaminor(under18years),pleasealsoprovideanoriginalcertifiedphotocopyoftheminor’sbirthcertificate
SharetradingthroughCoreEquityServicesisaserviceprovidedbyAustralianInvestmentExchangeLtd(“TheParticipant”)ABN71076515930AFSL241400,aParticipantoftheASXGroup.
Core Equity ServicesPhone1300360896
Fax1300668788
LockedBag3005
AustraliaSquare
NSW1215
www.coretrading.com.au
2 of 29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
AdviserName
AdviserCode
Mandatory
CompanyName
ContactNumber
ContactEmail
BrokerageCode
Address Details
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
PostalAddress SameasResidentialAddress
Postcode
Country
CHESS Registration Address
PleaseselectoneofthefollowingforuseastheCHESSregistrationaddressonthisaccount:
Applicant1/Director1/Trustee1PostalAddress
CompanyPostalAddress
Other(pleasecompletebelow)
OtherCHESSRegistrationAddress
Postcode
Country
Contact Details
EmailAddress
YOUMUSTPROVIDEANEMAILADDRESS
Tickyourpreferredcontactnumber
Mobile
Work ( )
Home ( )
Fax ( )
IdonotwishtoreceivemarketingandpromotionalmaterialfromAustralianInvestmentExchangeLtd.
Identification
Ifyouareanexistingcustomer,pleasesupplythefollowing:
Username GotoSection2
OR Ifyouarenotanexistingcustomer,pleaseprovideanoriginalcertifiedphotocopyofthefollowingdocumentation(referExplanatoryNote2)
TaxFileNumberorExemptionCode–optional(referExplanatoryNote1)
Whichaccounttypewouldyouliketocompletethisapplicationfor?
Individual Joint Company
Trust–Individualastrustee Trust–Companyastrustee
1. Adviser Details
Inwhatcapacityyouarecompletingthissectionas:
Individual Director/Secretary Trustee
Forjointaccounts,statementsandnoticeswillonlybepostedtothefirstapplicant’sPostalAddress.
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
Othernamescommonlyknownby(ifapplicable)
DateofBirth Gender
DD / MM / YY Male Female
Leveloftradingexperience
Newtosharetrading Someexperience
Frequenttrader(>3tradespermonth)
Areyouasoletrader? Yes No
SoleTraderBusinessName
SoleTraderABN–optional(referExplanatoryNote1)
2. Personal Details - Applicant 1/Director 1/Trustee 1
3of29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
Logindetailsforonlineaccess(referExplanatoryNote3)
Username(6to16alphanumericcharacters)
Doesthisclientrequireonlineaccess?
Yes–completetemporaryloginbelow No–Gotosection3
YouMUSTprovideaTemporaryLoginPasswordforonlineaccess
TemporaryLoginPassword(6to16alphanumericcharacters,andmustnot
containtheword“password”)
PleasemakeanoteoftheTemporaryLoginPasswordyouhavenominated.YouwillbeaskedtochangeyourPassworduponyourfirstlogin.
InwhatcapacityareyoucompletingthisSectionas:
IndividualApplicant Director/Secretary Trustee
Forjointaccounts,statementsandnoticeswillonlybepostedtothefirstapplicant’sPostalAddress.
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
Othernamescommonlyknownby(ifapplicable)
DateofBirth Gender
DD / MM / YY Male Female
Address Details
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
PostalAddress SameasResidentialAddress
Postcode
Country
3.PersonalDetails-Applicant2/Director2/Trustee2
Contact Details
EmailAddress
YOUMUSTPROVIDEANEMAILADDRESS
Tickyourpreferredcontactnumber
Mobile
Work ( )
Home ( )
Fax ( )
IdonotwishtoreceivemarketingandpromotionalmaterialfromAustralianInvestmentExchangeLtd.
Identification
Ifyouareanexistingcustomer,pleasesupplythefollowing:
Username GotoSection4
OR Ifyouarenotanexistingcustomer,pleaseprovideanoriginalcertifiedphotocopyofthefollowingdocumentation(referExplanatoryNote2)
TaxFileNumberorExemptionCode–optional(referExplanatoryNote1)
Logindetailsforonlineaccess(referExplanatoryNote3)
Username(6to16alphanumericcharacters)
Doesthisclientrequireonlineaccess?
Yes–completetemporaryloginbelow No–Gotosection4
YouMUSTprovideaTemporaryLoginPasswordforonlineaccess
TemporaryLoginPassword(6to16alphanumericcharacters,andmustnot
containtheword“password”)
PleasemakeanoteoftheTemporaryLoginPasswordyouhavenominated.YouwillbeaskedtochangeyourPassworduponyourfirstlogin.
4of29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
InwhatcapacityareyoucompletingthisSectionas:
Individual Director/Secretary Trustee
Forjointaccounts,statementsandnoticeswillonlybepostedtothefirstapplicant’sPostalAddress.
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
Othernamescommonlyknownby(ifapplicable)
DateofBirth Gender
DD / MM / YY Male Female
Address Details
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
PostalAddress SameasResidentialAddress
Postcode
Country
Contact Details
EmailAddress
YOUMUSTPROVIDEANEMAILADDRESS
Tickyourpreferredcontactnumber
Mobile
Work ( )
Home ( )
Fax ( )
IdonotwishtoreceivemarketingandpromotionalmaterialfromAustralianInvestmentExchangeLtd.
Identification
Ifyouareanexistingcustomer,pleasesupplythefollowing:
Username GotoSection5
OR Ifyouarenotanexistingcustomer,pleaseprovideanoriginalcertifiedphotocopyofthefollowingdocumentation(referExplanatoryNote2)
TaxFileNumberorExemptionCode–optional(referExplanatoryNote1)
Logindetailsforonlineaccess(referExplanatoryNote3)
Username(6to16alphanumericcharacters)
Doesthisclientrequireonlineaccess?
Yes–completetemporaryloginbelow No–Gotosection5
YouMUSTprovideaTemporaryLoginPasswordforonlineaccess
TemporaryLoginPassword(6to16alphanumericcharacters,andmustnot
containtheword“password”)
PleasemakeanoteoftheTemporaryLoginPasswordyouhavenominated.YouwillbeaskedtochangeyourPassworduponyourfirstlogin.
5. Company Details
4.PersonalDetails-Applicant3/Director3/Trustee3
CompanyName
AustralianCompanyNumber(ACN)
ABNandTaxFileNumberDetails
AustralianBusinessNumber(ABN)–optional(referExplanatoryNote1)
CompanyTaxFileNumberorExemptionCode–optional (referExplanatoryNote1)
RegisteredBusinessName
IndustryType(referExplanatoryNote4)
Address Details
RegisteredAddressoftheBusiness(cannotbeaPOBox)
Postcode
Country
5of29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
PostalAddress SameasRegisteredBusinessAddress
Postcode
Country
Contact Details
EmailAddress
Work ( )
Fax ( )
Isthecompanyoperatingasacharity? Yes No
Ifyes,whatisthepurposeofthecharity?
HasthecompanybeenestablishedinAustralia? Yes No
Ifno,pleasecompletethenextfourquestions
Countryofformation/incorporation/registration
WhatistheCompany’sbusinessactivity?
WhatisthepurposeofseekingasharetradingaccountinAustralia?
IsthisforeigncompanyregisteredwithASIC?
Yes PleaseprovideAustralianRegisteredBodyNumber(ARBN)
No Attachacopyoforiginalcertificateofregistrationissuedbytheforeignregistrationbody
PleaselistthefullNamesofallAdditionalDirectorsoftheforeigncompanyordomesticproprietarythatarenotlistedasApplicant1,2or3.Iftherearemorethan3AdditionalDirectors,pleasephotocopythispageandattachthecompletedpagetotheendofyourApplication.
Additional Director 1
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
Additional Director 2
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
AdditionalDirector3
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
Shareholder Details
CompanyType Public Proprietary/Private
IfProprietary/Private,pleaseprovidedetailsofALLindividualswhoarebeneficialownersthroughoneormore(direct/indirect)shareholdingsofmorethan25%oftheCompany’sissuedcapital.
Shareholder 1
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
6of29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
Shareholder 2
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
Shareholder3
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
TrustType
Charity Settlement Family Superannuation
Minor Other,pleasespecifybelow
Forformaltrusts,pleaseprovideoriginalcertifiedphotocopyofanup-to-dateextractoftheTrustDeed.
Extractshouldincludethecoverpagewhichshowsthetrustee’sname(s)andthetrustee’ssignature(s)withwitnesssignaturesandadeedofamendment,ifthereisany.
Account Designation (referExplanatoryNote5)
A/C
Pleaseprovideanabbreviatedversionofthefullnameofthetrust(upto23characters,includingspaces).
Thewordsorreferenceto“trust”,“astrusteefor”,“trustee”,“ATF”,“TF”shouldnotbeusedinAccountDesignationasitwillnotbeacceptedbyCHESS.
ThefollowingdetailsarenotapplicableforMinortrusttype–please go to Trustee Details
FullTrustName
Ifcharity,pleasespecifyobjectiveofthecharity
HasthetrustbeenestablishedinAustralia? Yes No
Ifno,pleasecompletethefollowingthreequestions
Whatcountrywasthetrustestablishedin?
Whatistheobjectiveofthetrust?
Whatisthepurposeofseekingasharetradingaccount?
TrustTaxFileNumberorExemptionCode(referExplanatoryNote1)
Trustee Details
Iftherearemorethan3trustees,pleaseprovidenamesandaddressesforthoseadditionaltrustees.
Iftherearemorethan3additionaltrusteespleasephotocopythispage,completeandattachtoyourapplication.
6. Trust Details
7of29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
Additional Trustee 1
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
Additional Trustee 2
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
AdditionalTrustee3
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
BeneficiaryDetails
PleaseprovidethefullnameofeachbeneficiaryORtypeofmembershipclass(e.g.unitholder,familymember).Iftherearemorethanthreebeneficiaries/membershipclassespleasephotocopythispage,completeandattachtoyourapplication.
Beneficiary1
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
8of29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
Beneficiary2
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
Beneficiary3
Title
Mr Ms Mrs Miss Dr Other(specify)
FirstGivenName
OtherGivenNames
Surname
ResidentialAddress(cannotbeaPOBox)
Postcode
Country
OR
Membershipclasses
PleasecompleteeitherthenominatedbankaccountdetailsorthirdpartyMarginLenderdetailsifyouwishtosettleoutofanexistingMarginLoan.
Nominatedbankaccount
Youmustprovideanominatedbankaccounttosettleyoursharetradesand/orothersubscriptionsonyouraccount.Thenominatedbankaccountmustbeinthesamename(s)providedinthisapplication.
NewCBAAcceleratorCashAccount (pleasecompletesection8)
or
AccountName
BSB
AccountNumber
Bank
Branch
or Margin Lending Details
Completeonlyifyouintendtosettleyoursharetradingtransactionsthroughanexistingmarginloan.
MarginLender(M/L)
M/LAccountNumber
M/LAccountName
M/LContactPerson(ifknown)
M/LContactNumber(ifknown)
7. Settlement Options
9 of 29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
8. CBA Accelerator Cash Account
Initial deposit to be made by:Funds Transfer (you will be able to perform a funds transfer once you receive your BSB and account number), or
Cheque, or
Funds Transfer from a nominated Commonwealth Bank Account (must be in the same name as the application).
Initial Deposit Amount
$
In words
From Account details
Account Name
BSB
Account Number
Is a deposit book required?
No Yes
Is a cheque book required?
No Yes
Is ATM/EFTPOS access required?In section 6 you will be requested to confirm your Signaturerequirements for operation of joint/company (including trusts)accounts. If you choose more than one/two to sign no card/s will beissued. If no selection is made the account will be established asmore than one to sign
No
Yes, issue a new Keycard (not available for Self-Managed Super Funds)
Yes, link to an existing Commonwealth Bank Card (not available for Self Managed Super Funds)
Statement Delivery Method
Online (you must be registered for NetBank).
Paper (additional fees may be incurred).
Statement Delivery Address (for paper statements)Name
Address Details
Country
Postcode
Commission Option
Nil Standard (0.25%)
Trail Commission Disclosure• We may pay a commission (by lump sum or ongoing) to your agent
(adviser) who referred you to us, or to a third party associated to that agent.
• If you sign this Application Form at Section 6, you consent to the
payment of the commissions referred to above.
• You can cancel the payment of any ongoing commissions by
instructing Core Equity Services in writing.
• You can elect to pay any ongoing commissions to another agent
you appoint in the future by instructing Core Equity Services in writing.
• The interest rate on your account(s) will be reduced by the
commission amount, and the amount of interest payable on the
account balance will be reduced by the amount of the trail
commission.
Declaration, Authorities and Acknowledgements
The funds in this account are held in trust.
No Yes Where the funds in this account are held in trust, the trustdeed/instrument authorises the opening and operation of theaccount in the manner set out in this authority.If you are not opening this account wholly or predominantly forpersonal or domestic use, please tick the box [ ].I/We have been given a copy of the Accelerator Cash Account andTerm Deposit General Information and Terms and Conditionsdocuments and accept the terms and conditions (including thesection on ‘Customer Information and Privacy’) for this account. I/We also acknowledge and consent to the use and disclosures ofmy/our personal information as detailed in the section on ‘Customer Information and Privacy’ and to the payment of thecommissions referred to above.I/We declare that my/our information (including identification details)as shown on this form are true and correct, and that I/we understandthat it is an offence to provide false or misleading information.I/We have received and reviewed a copy of the Electronic BankingTerms and Conditions (available at www.commbank.com.au) andaccept those terms and conditions.I/We acknowledge that my/our first use of NetBank will signifymy/our acceptance of, and agreement to be bound by, the BanksElectronic Banking Terms and Conditions.
Signature requirements for operation of joint/company (includingtrusts) accounts only:
Either to sign
More than one to sign
More than two to sign
(Note: No card/s will be issued where ‘More than one/two to sign’ option is ticked)Note: If no selection is made the account will be established as more than one to sign.
10of29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
Pleaseticktheoption(s)youarerequestingfor:
ISSUERtoBROKERSPONSORSHIPTransfermy/ourIssuerParticipantSponsoredHoldingstoTheParticipant.
(Please attach copies of all relevant holdings Statements)
ShareholderReferenceNumber(SRN)
ASXCodeorSecurityName Qty
ShareholderReferenceNumber(SRN)
ASXCodeorSecurityName Qty
ShareholderReferenceNumber(SRN)
ASXCodeorSecurityName Qty
SRN
ASXcode Qty
I/WeauthoriseTheParticipanttoconverttheabovelistedHolding(s)intomy/ourShareTradingAccount.
BROKERtoBROKERTRANSFERYoumayselecttoeithertransferallorpartofyourexistingbrokerholdings.
ExistingBrokerName:
PID:
HIN:
A/CNumber:
NewBrokerName:
Australian Investment Exchange Ltd
PID: 0 6 3 8 1
a) TransferALLBrokerSponsoredHoldings toTheParticipant. Yes No
Note: WewilltransferyourHolderIdentificationNumber(HIN)
OR
b) TransferALLBrokerSponsoredHoldingsbutNOTmy/ourHINtoTheParticipant. Yes No
OR
c) TransferthefollowingexistingBroker SponsoredHoldingstoTheParticipant. Yes No
PleaseliststockthatyouwouldliketotransferfromyourExistingBroker.Attachaseparatesheetifmorespaceisrequired.
ASXCodeorSecurityName Qty
NB:Itmaybenecessarytore-lodgeyourstandinginstructionswiththeshareregistriesaftersometransfers.Theseincludetaxfilenumbers,bankingdetailsandDRPordividendinstructions.
9. CHESS Sponsorship Request
Important:TheNameandregistrationdetailthatappearsonyourcurrentregisteredholdingsMUSTbethesamenamethatappearsonyourTradingAccount.Ifthisrequirementisnotmetanyrequesttotransferholdingsmaybedelayedorrejected.
YourtradingaccountwillbeCHESSsponsoredbytheParticipantunlessyouhaveprovidedthedetailsofaThirdPartyMarginLendingaccountinSection7ofthisapplicationform.
11 of 29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
AllAccountHoldersMUSTsignthisdeclaration–photocopiedandfaxedsignaturesarenotaccepted
I/wetheundersigned(beingtheapplicant(s)):
1. DeclarethattheinformationI/weprovidedtoyouinmy/ouronlineapplication(andsummarisedintheSummaryofYourInformationsectionofthisApplication)iscompleteandcorrectandacknowledgethatitwillformpartofthecontract.
2. Acknowledgethat:
(a)thenameofindividualpersonsgiveninthisapplicationaretrueandcorrectandthatthelawprohibitstheuseoffalsenames,aswellasthegivingoruseoffalsedocumentsinconnectionwithanidentificationprocedure;
(b)I/wehavebeengiventheopportunityduringtheonlineapplicationprocesstoindicatewhetherI/wedonotwishtoreceivepromotionalmaterialfrom“TheParticipant”.Consenttotheusesanddisclosuresofmy/ourpersonalinformationsetoutinthePrivacysectionsoftheTermsandConditions.
Declaration to Terms and Conditions
1. I/We,theClient(s)acknowledgethatwehavebeensuppliedwith,andread,thecurrentAustralianInvestmentExchangeLtd(“TheParticipant”)FinancialServicesGuidepriortoreceivinganyfinancialservicefrom“TheParticipant”.
2. I/We,theClient(s),agreetobesponsoredby“TheParticipant”underthetermsoftheParticipantSponsorshipAgreement.I/WehavereadandagreetoacceptandabidebythetermsoftheAgreement,andhavebeensuppliedwith,readandunderstoodthewrittenexplanationoftheimplicationsofthoseterms.
3. I/We,theClient(s),authorisetheAdvisertoopenaShareTradingAccountwith“TheParticipant”andtogiveinstructionto“TheParticipant”ontheAccountonmy/ourbehalf.
4. I/We,theClient(s),acknowledgethatasaresultofmy/ourShareTradingAccountmanagedbymyAdviserwith“TheParticipant”havingStraightThoughProcessing(anautomatedprocessingofasecuritiestradethroughtheStockExchangeAutomatedTradingSystem)itispossiblethatanyordersonmy/ourAccountmaybematchedwithanotherorderalsoplacedby“TheParticipant”.This“crossing”maybewithanorderbyanotherclientof“TheParticipant”orby“TheParticipant”itself.
5. I/WeauthoriseandrequestAustralianInvestmentExchangeLtd(APCAUserIDno.093993–Debitand093992-Credit)toarrangeforfundstobedebitedfrom/creditedtomy/ouraccountsasspecifiedinthisApplicationthroughtheBulkElectronicClearingSystem(BECS).I/WeacknowledgethatthisauthorityisgovernedbyandwillremaininforceinaccordancewiththeDirectDebit/CreditRequestServiceAgreementsectionsoftheTermsandConditionsgoverningeachproductI/weareapplyingfor.
6. I/We,theClient(s),acknowledgeandagreethatallconfirmationsaretobesentelectronicallytomy/ouremailandwheretheconfirmationisposted,thatachargewillapply.
7. I/Weauthorise“TheParticipant”toacceptinstructionsonmy/ourbehalffrommy/ourAdviserandconfirmthatmy/ourAdviserhasthepowertodothefollowinginmy/ournameandonmy/ourbehalffromtimetotime:
(a) toacquire,buy,dealwithanddisposeofanysecurities;
(b)topayorreceivepaymentforanysecuritiestransactionsandrelatedexpensesandtogiveagoodreceiptanddischargeforthesecurities,proceedsandothermoniestoexecuteallnecessaryorpropercontractsandotherdocumentsforthecustody,dealingandtransferofsecuritiesandrelatedmatters;
(c) toexerciseallrightsandprivilegesandperformalldutiesandobligationswhichmaynoworinthefutureapplytome/usasaholderofsecurities;
(d)toexecuteallnecessaryorpropercontractsandotherdocumentsforthecustody,dealingandtransferoffinancial
productsandrelatedmatters.
8. I/Weacceptthatmy/ourAdviserhasaccesstoallinformationrelatingtotransactionsundertakeninrelationtodealingswith“TheParticipant”.
9. I/Weacknowledgethatmy/ourAdvisermaydelegatetheauthorisationinclause7abovetopersonsnominatedbytheLicenceHolderfromtimetotime.
10.I/We,theClient(s),declarethatI/Wehavethelegalcapacitytomakethesedeclarations,accepttheconditionsandenterintotheagreementsreferredtoinpoints1,2,3,4,5,6,7,8and9above.
For Trusts I/we:
a)Warrantthatthetrustdeed/instrumentauthorisestheopeningandoperationoftheaccountascontemplatedbythisApplication,and
b)Warrantthatauthorityhasbeengivenbysignatureofthetrustee(s),orwherethetrusteeisacompany,byresolutionpassedatalegallyconstitutedmeetingofdirector(s)ofthecompanyfortheopeningandoperationoftheaccount/sinthenameofandonthetermsandconditionsandinthemannersetoutinthisApplication.
SignatureofApplicant1/Director1/Trustee1
✘Date:
DD / MM /YY
SignatureofApplicant2/Director2/Trustee2
✘Date:
DD / MM /YY
SignatureofApplicant3/Director3/Trustee3
✘Date:
DD / MM /YY
Adviser Declaration
1. Astheadviser,Iagreethattheaboveclienthasbeenprovidedwithandread,“TheParticipant’s”FinancialServicesGuidepriortoreceivinganyfinancialservicefrom“TheParticipant”.
2. Astheadviser,IagreethatIhaveperformedthenecessaryclientidentificationcheckrequiredbylaw,theASXandanyotherrelevantauthorityandthatIhavesufficientevidenceofthischeckwhichwillbekeptforsevenyears.
3. Astheadviser,Iacknowledgethat“TheParticipant”reliesuponustoperformthenecessaryIDcheckinordertosatisfytheirrequirementsandthat“TheParticipant”canrequestcopiesofidentificationatanytime.Iacknowledgethattheprocessforprovidingassuranceofclientidentificationto“TheParticipant”maychange,at“TheParticipant’s”discretion,atanytime.
4. Astheadviser,IacknowledgethatIwillsendacopyofalldocumentsusedtoverifymyclient’sdetailsto“TheParticipant”togetherwiththeapplicationform.Iacknowledgethatthecopymustbemadefromanoriginaldocumentandincludeastatement“Thisisatruecopyoftheoriginaldocument”(orsimilarwording)andmysignature.
ForAdviser,signhere
AdviserName
SignatureofAdviser
✘Date:
DD / MM /YY
10. Declaration & Signature(s)
12 of 29 CFM1031 (07/12) EQACA
Share Trading Account Application Form
(Advised Clients)
I/We authorise my/our Adviser (Authorised Adviser) as set out below to act on my/our behalf on the Accelerator Cash Account requested in this application form, and any subsequent Term Deposit Accounts opened in the future, to the extent of their authority set out below, to send instructions to the Commonwealth Bank of Australia (Bank) to:
Acknowledgement and Request
a) I/We authorise the Bank to act on instructions received by telephone, email or facsimile from my/our Authorised Adviser/s (including their employees, agents and contractors) to:
– Request general account (including balance and individual transactions) and personal information related to the account/s nominated on this form, order cheque books, deposit books and/or KeyCards which will be sent to the address I/we nominate.
b) I/We authorise the Bank to act on instructions received by telephone, email or facsimile from my/our Authorised Adviser/s to:
– Transfer funds from my/our account/s and set up periodical payments to accounts in exactly the same name of my/our account which the funds are being transferred from within the Bank;
c) I/We also authorise the Bank to act on signed instructions received by email attachment, facsimile or mail from my/our Authorised Adviser/s to:
– Transfer funds and set up periodical payments from my/our account/s nominated on this form to any other account specified on the written request provided.
– Place money on term deposit with the Bank in my/our name/s for any term and to withdraw on maturity, or by arrangement with the Bank prior to maturity, any such moneys held on term deposit, give valid discharges for interest paid and principle repaid and to otherwise exercise all the rights as permitted in this authority.
Account Holder/s, please sign:
This authority must be signed by all Account Holder/s:I/We:
– authorise and request the Bank to accept and act upon any instructions issued by my/our Authorised Adviser (including their representative under clause (a) above) pursuant to this authority and undertake and ratify whatever my/our Authorised Adviser lawfully does or causes to be done pursuant to this authority;
– understand that the appointment of my/our Authorised Adviser remains effective until I/we revoke it by providing a notice in writing to the Bank; and
– acknowledge that any instructions given by me/us in accordance with this authority will be relied on by the Bank and that the Bank will not be liable for any loss or damage I/we, or anyone else, suffers where the Bank acts on those instructions in good faith, unless it is proved that the Bank was negligent. Where the Bank agrees to supply services to me/us as a consumer, as defined in the Australian Securities and Investments Commission Act 2001 (`the Act’), then the Bank’s liability will be determined in accordance with the Act. The Act permits the Bank in some circumstances to limit its liability to resupplying services to me/us.
11. Adviser Authority to Operate
Important: Only use this form if you wish to authorise your Adviser to conduct transactions on your Accelerator Cash Account.
AccOunt HOldeR/s sIgnAtuRe/s
Account Holder 1 / trustee 1 or director 1(on behalf of company Account Holder)
Signature
✘
Account Holder 2 / trustee 2 or director 2(on behalf of company Account Holder)
Signature
✘
Account Holder 3 / trustee 3 or director 3(on behalf of company Account Holder)
Signature
✘
AutHORIsed AdVIseR/s tO cOMPlete
Authorised Adviser, please complete and sign below:
I/We:
– acknowledge that I/we have received and agree to be bound by the Terms and Conditions governing the account/s and consent to the uses and disclosures of my/our personal information set out in the Privacy sections of those Terms and Conditions.
Adviser 1
Signature
✘
Adviser 2
Signature
✘
InteRnAl use OnlY
Trading A/C Number:
HIN:
Date: Initials:
/ /
Please post your completed Application Form to us at:
Core Equity Services Locked Bag 3005 Australia SquareNSW 1215
Date
DD / MM / YY
Date
DD / MM / YY
Date
DD / MM / YY
Date
DD / MM / YY
Date
DD / MM / YY
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Share Trading Account Application Form
(Advised Clients)
SecondaryIdentification
• AnoticethatwasissuedtoanindividualbyatheCommonwealth,stateorTerritorywithinthepreceding12monthswhich:
– Containsthenameofthepersonandhisorherresidentialaddress;
– RecordstheprovisionoffinancialbenefitstotheindividualunderalawoftheCommonwealth,StateorTerritory.
• TaxationNoticeissuedtoindividualwithinthepreceding12monthswhichcontainsthenameoftheindividualandhisorherresidentialaddressandrecordsadebtpayabletoorbytheindividualbyortotheCommonwealthunderaCommonwealthlawrelatingtotaxation
• Anoticethatwasissuedbyalocalgovernmentbodyorutilitiesprovidere.g.gas,electricity,water,rateswithinthepreceding 3monthsthat:
– Containsthenameofthepersonandhisorherresidentialaddress;
– Recordstheprovisionofservicesbythelocalgovernmentbodyorutilitiesprovidertothataddressortothatperson.
• Driverslicenceissuedoverseas
• SecurityGuard/CrowdSafetyOfficeridentitycard
Howtocertifydocuments
Eachcertifiedphotocopy(s)mustincludethestatement(orsimilarwording):“Icertifythatthisisatruecopyoftheoriginaldocument.”
Thecertifiermustincludetheirfullname,original signature (photocopiedsignaturesarenotaccepted)andqualificationoroccupationwhichmakesthateligible.
Pleaseattachtheoriginalcertifiedcopy(ies)ofthedocument(s)toyourapplication.DONOTsendoriginaldocuments,orcopiesofcertifiedcopies.
Thelistofeligiblepersonswhoareallowedtocertifydocuments
• Abarristerorasolicitor
• Ajudgeoramagistrate
• AchiefexecutiveofficerofaCommonwealthcourt
• Aregistrar/deputyregistrarofacourt
• AJusticeofthePeace
• Apublicnotary
• Apoliceofficer
• AnagentofAustraliaPostwhoisinchargeofanofficesupplyingpostalservicestothepublic
• ApermanentemployeeofAustraliaPostwith2ormoreyearsofcontinuousservicewhoisemployedinanofficesupplyingpostalservicestothepublic
• AnAustraliandiplomaticorconsularofficer
• Anofficerwith2ormorecontinuousyearsofservicewithoneormorefinancialinstitutions
• Afinancecompanyofficerwith2ormorecontinuousyearsofservicewithoneormorefinancecompanies
• AnofficerorauthorisedrepresentativethatholdsanAustralianfinancialserviceslicenceandhas2ormorecontinuousyearsofservicewithoneormorelicences
• Amemberof:
– theInstituteofCharteredAccountantsinAustralia;
– CPAAustralia;
– theNationalInstituteofAccountantswith2ormoreyears ofcontinuousmembership.
ExplanatoryNotes
Date
DD / MM / YY
Date
DD / MM / YY
Date
DD / MM / YY
Date
DD / MM / YY
Date
DD / MM / YY
1.AUSTRALIANBUSINESSNUMBER(ABN),TAXFILENUMBER(TFN)OREXEMPTIONCODE
ProvidingyourABN,TFNorExemptionCodeisnotcompulsory,butifyoudonot,taxmaybetakenoutofyourinterestatthehighestmarginaltaxrateplusMedicarelevy.
TFN and Trusts
Formaltrust-establishedasalegalentityunderaformaltrustdeedandhasaTFN.PleasequotetheTFNoftheformaltrust.
Informaltrust-noformalarrangementsinplacee.g.minor,andthereisnorequirementforyoutofurnishaTrustincometaxreturntotheAustralianTaxationOffice.
PleaseprovidetheTaxFileNumber(s)oftheTrustee(s).
2.IDENTIFICATION
PrimaryPhotographicIdentification(SufficientIDbyitself)
• AustralianPassportissuedbytheCommonwealth,whichhasnotbeenexpiredfor2yearsormore
• DriverslicenceissuedinAustraliaorNewZealandthatcontainsaphotographofthepersoninwhosenamethedocumentisissued
• ProofofAgeCards–issuedunderalawofastateorterritory(aNSWPhotoCardasof13December2008)thatcontainsaphotographofthepersoninwhosenamethedocumentisissued
• NSWPhotoCardandBirthCard(notcurrentlyavailableinotherstates)
• InternationalPassportorsimilardocumentissuedforthepurposeofinternationaltravelwhich:
– containsaphotographandsignatureofthepersoninwhosenamethedocumentisissued;
– isissuedbyaforeigngovernment,theUnitedNations(UN)oranagencyoftheUN.
• Anationalidentitycardissuedforthepurposeofidentity:
– containsaphotographandsignatureofthepersoninwhosenamethedocumentisissued;
– Issuedbyaforeigngovernment,theUnitedNations(UN)oranagencyoftheUN.
• Firearmslicenceissuedunderlaw(AllStates)
• DefenceForceIdentityCard(otherthanwherethecardisissuedtospousesofdefenceforcepersonnel)
Ifwritteninlanguagenotunderstoodbythepersoncarryingouttheverification,accompaniedbyanEnglishtranslationfromanaccreditedtranslator.
PrimaryNonPhotographicIdentification
• BirthcertificateorbirthextractissuedbyanAustralianState orTerritory
• Birthcertificateissuedbyaforeigngovernment,theUnitedNationsoranagencyoftheUN
• CitizenshipcertificateissuedbytheCommonwealth
• Citizenshipcertificateissuedbyaforeigngovernment
• ApensioncardorhealthcarecardissuedbyCentrelinkthatentitlesthepersonwhosenamethecardisissued,tofinancialbenefits
Ifwritteninlanguagenotunderstoodbythepersoncarryingouttheverification,accompaniedbyanEnglishtranslationfromanaccreditedtranslator.
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Share Trading Account Application Form
(Advised Clients)
3.USERNAME
IfyournominatedUsernameisalreadyinuse,wewillnominateasimilaralternativeonyourbehalf.YouwillreceiveconfirmationofyourUsernamewithyourWelcomeLetterorEmail.
4.INDUSTRYTYPE
Pleaseselectoneoftheseoptions:
• Accommodation,CafesandRestaurants
• Agriculture,ForestryandFishing
• Communications
• Construction
• CulturalandRecreationalServices
• Education
• Electricity,GasandWaterSupply
• FinanceandInsurance
• GovernmentAdministrationandDefence
• HealthandCommunityServices
• Manufacturing
• Mining
• PersonalandOtherServices
• PropertyandBusinessServices
• RetailTrade
• TransportandStorage
• WholesaleTrade
• Other
5.ACCOUNTDESIgNATION
AccountDesignationisusedwhenyouwishtotradeunderthenameofaSuperannuationFund,FamilyTrust,MinororDeceasedEstate.
Examplesinclude:BrownS/FA/C,BrownFamilyA/C,Louise Brown(minor).
DIRECTDEBITREQUESTSERVICEAgREEMENT
1. Theparticipantwilladviseyou,inwritingorelectronically,intheformofaConfirmation,thedrawingdetailsthatincludesthesettlementamountdueandthesettlementdate.
2. Wherethesettlementdatefallsonanon-businessday,theParticipantwilldrawtheamountonthefollowingbusinessday.
3. TheparticipantreservestherighttochargeadishonourfeeifanydebititemalreadydebitedfromyournominatedaccountisreturnedasunpaidbytheFinancialInstitution.
4. Theparticipantwillkeepyourinformationaboutyournominatedaccountatthefinancialinstitutionprivateandconfidentialunlessthisinformationisrequiredbyustoinvestigateaclaimmadeonitrelatingtoanallegedincorrectorwrongfuldebt,orasotherwiserequiredbylaw.
5. Intheeventofadebitreturnedunpaid,theParticipantmayattemptaredrawonyournominatedaccount.
6. Theparticipantwilladviseyou14daysinadvanceofanychangestotheDirectDebitarrangements.
7. Ifyouprovideanincorrectbankaccountnumber,youmayincurafeeiftheParticipanthasprocessedatransactiontothataccount.
Your rights
8. YoumayterminatetheDirectDebitarrangementofyourtradeswithus,however,thisterminationmustbeinwriting.
9. Whereyouconsiderthedebitisincorrectineithertheduedateoramountorboth,youshouldraisethematterwithTheParticipant.
Your responsibilities
10. Itisyourresponsibility:
• tocheckwiththeFinancialInstitutionwhereyouraccountisheldbeforecompletingtheDirectDebitRequest(DDR)asDirectDebitingthroughBulkElectronicClearingSystem(BECS)isnotallowedonthefullrangeofaccounts.Youshouldalsocompleteyouraccountdetails,includingBankStateBranch(BSB)number,directlyoffarecentaccountstatementfromyourFinancialInstitution;
• toensuresufficientclearedfundsareavailableinthenominatedaccounttomeetthedebitontheduesettlementdateofyourtransactionsexecutedbytheParticipant;
• toensurethattheauthorisationtodebitthenominatedaccountisinthesamenameastheaccountsigningtheinstructionheldbythefinancialinstitutionwheretheaccountisheld;
• toadviseusiftheaccountyouhavenominatedtodebitistransferredorclosed;
• toensurethatsuitablearrangementsaremadeiftheDirectDebitiscancelled:
–byyourself;
–byyournominatedFinancialInstitution;or
–foranyotherreason.
SharetradingthroughCoreEquityServicesisaserviceprovidedbyAustralianInvestmentExchangeLtd(“TheParticipant”,“we”,“us”or“our”)ABN71076515930AFSL241400,aParticipantoftheASXGroup.
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TERMSANDCONDITIONSOF PARTICIPANTSPONSORSHIPAgREEMENT
NOTICE:Beforeyousign,pleasecontactaClientServicesOfficeroftheParticipantifyourequireanexplanationoftheeffectofthisSponsorshipAgreement.
RECITALS
A. ASXSettlementPtyLimited(ASXSettlement)initscapacityastheapprovedClearingandSettlementFacilityundertheCorporationsAct,operatestheClearingHouseElectronicSubregisterSystem(“CHESS”).
B. CHESSallowsClientstoholdFinancialProductsinanuncertificatedforminholdingssponsoredbytheParticipant.
C. TheClient(“theParticipantSponsoredHolder”)agreestobesponsoredbytheParticipant.
AgREEMENT
1.0 DEFINITIONSANDINTERPRETATIONS
1.1 InthisAgreement,
“ASXClear”meansASXClearPtyLtdanditssuccessors;
“ASXSettlement”meanstheASXSettlementPtyLimitedABN49008504532asapprovedastheClearingandSettlementFacilityundertheCorporationsActtooperateCHESS;
“CHESSHolding”meansanuncertificatedholdingofFinancialProductsonasub-registerforthatclassofFinancialProductsmaintainedbyASXSettlement;
“HIN”meansHolderIdentificationNumber;
“TheParticipant”,“we”,“us”or“our”meansAustralianInvestmentExchangeLtdABN71076515930AFSL241400ofLevel7,141StGeorgesTerrace,Perth,WesternAustralia;
“Rules”meanstheASXSettlementOperatingRules;
“SponsoredHolding”meansaCHESSHoldingoftheParticipantSponsoredHolderwhichisidentifiedbyaHINwhichis,attherequestoftheParticipantSponsoredHolder,notifiedinwritingbytheParticipanttotheParticipantSponsoredHolderafterthisAgreementcommences;and
“WithdrawalInstructions”meansinstructionsforwithdrawalofFinancialProductsfromaSponsoredHolding:
(a) AnytermusedinthisAgreementwhichisdefinedintheASXSettlementOperatingRuleshasthesamemeaninggiventothemintheASXSettlementOperatingRules;
(b) Wordsexpressedinonegenderincludeallgenders;andWordsexpressedinthesingularincludethepluralandviceversa;
(c) ThisAgreementisintendedtocomplywiththeASXSettlementOperatingRulesandshallbereadandconstruedaccordingly.(AcopyofanyfurtherdefinitionsmaybeobtainedfromtheParticipantbyrequest).
2.0 APPOINTMENT
2.1 TheParticipantSponsoredHolderappointstheParticipanttoprovide,andtheParticipantagreestoprovide,transferandsettlementservicesasagentfortheParticipantSponsoredHolderinrelationtoSponsoredHoldingsonthetermsandconditionscontainedinthisAgreement.
3.0 PARTICIPANTRIgHTS
3.1 WheretheParticipantSponsoredHolderauthorisestheParticipanttobuyFinancialProducts,theParticipantSponsoredHolderwillpayforthoseFinancialProductswithinthreeBusinessDaysofthedateofpurchase.TheParticipantmayrequirepaymentoradepositbeforeitexecutestheParticipantSponsoredHolder’sinstructionstobuyFinancialProducts.
3.2 SubjecttoClause3.3,theParticipantisnotobligedtotransferFinancialProductsintotheParticipantSponsoredHolding,wherepaymentforthoseFinancialProductshasnotbeenreceived,untilpaymentisreceived.
3.3 WhereacontractforthepurchaseofFinancialProductsremainsunpaid,aftertheParticipanthasmadeademandoftheParticipantSponsoredHoldertopayfortheFinancialProducts,theParticipantmaysellthoseFinancialProductsthatarethesubjectofthatcontractattheParticipantSponsoredHolder’sriskandexpenseandthatexpenseshallincludebrokerage,andstampdutyandanyothercostsincurredbytheParticipant.
3.4 WheretheParticipantclaimsthatanamountlawfullyowedtoithasnotbeenpaidbytheParticipantSponsoredHolder,theParticipanthastherighttorefusetocomplywiththeParticipantSponsoredHolder’sWithdrawalInstructions,butonlytotheextentnecessarytoretainFinancialProductsoftheminimumvalueheldinaParticipantSponsoredHolding(wheretheminimumvalueisequalto120%ofthecurrentmarketvalueoftheamountclaimed).
4.0 PARTICIPANTSPONSOREDHOLDER’SRIgHTS
4.1 SubjecttoClauses3.3and3.4,theParticipantwillinitiateanyTransfer,ConversionorotheractionnecessarytogiveeffecttoWithdrawalInstructionswithintwo(2)BusinessDaysofthedateofthereceiptoftheWithdrawalInstructions.
4.2 TheParticipantwillnotinitiateanyTransferorConversionintooroutoftheParticipantSponsoredHoldingwithouttheexpressauthorityoftheParticipantSponsoredHolder.
4.3 TheParticipantisanAustralianFinancialServicesLicenseeandthereforeregulatedbyAustralianSecuritiesandInvestmentCommission(ASIC)andsubjecttotheregulationsimposedbyASIC.Inaddition,asaParticipantoftheASXGroup,theParticipantisboundbytheASXOperatingRules,ASXSettlementOperatingRules,ASXClearOperatingRulesandassociatedprocedures.TheParticipantSponsoredHoldercanobtainfurtherinformationastothestatusoftheParticipantfromeitherASIC,ASX,ASXSettlementorASXClear.
4.4 TheParticipantSponsoredHoldermaylodgeacomplaintagainsttheParticipantwitheithertheASX,ASXSettlement,ASXClearortheFinancialOmbudsmanServiceasaresultofanycontraventionofthisagreement.AnyclaimforcompensationcanbelodgedwiththeNationalGuaranteeFundwhichoperatesasacompensationarrangementforinvestorswhomaysufferlossduetothedefalcationbyMarketParticipantsinrelationtoequitiesandwarrantsandexchangetradedoptions.
5.0 SUPPLYOFINFORMATION
5.1 TheParticipantSponsoredHoldershallsupplyallinformationandsupportingdocumentationthatisreasonablyrequiredtopermittheParticipanttocomplywiththeregistrationrequirements,asareinforcefromtimetotime,undertheASXSettlementOperatingRules.
6.0 EXCHANgETRADEDOPTIONS,PLEDgINgANDSUBPOSITIONS
6.1 WheretheParticipantSponsoredHolderarrangeswithASXCleartolodgeFinancialProductsinaParticipantSponsoredHoldingascoverforwrittenpositionsintheAustralianOptionsMarket,andinformstheParticipantofthearrangement,theParticipantSponsoredHolderauthorisestheParticipanttotakewhateveractionisreasonablyrequiredbyASXClearinaccordancewiththeRulestogiveeffecttothatarrangement.
6.2 WheretheParticipantSponsoredHolderarrangeswithanypersontogiveachargeoranyotherinterestintheFinancialProductsinaParticipantSponsoredHolding,theParticipantSponsoredHolderauthorisestheParticipanttotakewhateveractionisreasonablyrequiredbythepersoninaccordancewiththeRulestogiveeffecttothatarrangement.
Share Trading Account Terms and Conditions
(Advised Clients)
16of29 CFM1031 (07/12) EQACA
Share Trading Account Terms and Conditions
(Advised Clients)
TheParticipantSponsoredHolderacknowledgesthatwhere,inaccordancewiththisAgreementand/ortheParticipantSponsoredHolder’sinstructions,theParticipantinitiatesanyactionwhichhastheeffectofcreatingasub-positionoverFinancialProductsintheParticipantSponsoredHolding,therightoftheParticipantSponsoredHoldertotransfer,convertorotherwisedealwiththoseFinancialProductsisrestrictedinaccordancewiththetermsoftheRulesrelatingtosub-positions.
6.3 NothinginthisAgreementoperatestooverrideanyinterestofASXClearintheFinancialProducts.
7.0 FEES
7.1 TheParticipantSponsoredHoldershallpayallBrokeragefeesandassociatedtransactionalcostswithintheperiodprescribedbytheParticipant.
8.0 NOTIFICATIONSANDACKNOWLEDgEMENTS
8.1 TheParticipantSponsoredHolderacknowledgesthatiftheParticipantisnotaParticipatingOrganisationofASX,neitherASXnoranyRelatedPartyofASXhasanyresponsibilityforsupervisingorregulatingtherelationshipbetweentheParticipantSponsoredHolderandtheParticipant,otherthaninrelationtotheRulesrelatingtoSponsorshipAgreements.
8.2 TheParticipantSponsoredHolderacknowledgesthatifaTransferistakentobeeffectedbytheParticipantunderSection9oftheASXSettlementOperatingRulesandtheSourceHoldingfortheTransferisaParticipantSponsoredHoldingundertheSponsorshipAgreement,then:
(a) theParticipantSponsoredHoldermaynotassertorclaimagainstASXSettlementortherelevantIssuerthattheTransferwasnoteffectedbytheSponsoringParticipantorthattheSponsoringParticipantwasnotauthorisedbytheParticipantSponsoredHoldertoeffecttheTransfer;and
(b) unlesstheTransferisalsotakentohavebeeneffectedbyaParticipatingOrganisationofASXoraClearingParticipantofASXClear,theParticipantSponsoredHolderhasnoclaimarisingoutoftheTransferagainsttheNationalGuaranteeFundunderPart7.5,Division4oftheCorporationsRegulations.
8.3 IntheeventthattheParticipantbreachesanyoftheprovisionsofthisAgreement,theParticipantSponsoredHoldermayreferthatbreachtoanyregulatoryauthority,includingASXSettlement.
8.4 IntheeventthattheParticipantissuspendedfromCHESSparticipation,subjecttotheassertionofaninterestinFinancialProductscontrolledbytheParticipant,bytheliquidator,receiver,administratorortrusteeofthatParticipant:
(a) theParticipantSponsoredHolderhastheright,withintwenty(20)BusinessDays,togivenoticetoASXClearrequestingthatanyParticipantSponsoredHoldingsberemovedeither:
(i) fromtheCHESSSubregister;or
(ii) fromthecontrolofthesuspendedParticipanttothecontrolofanotherParticipantwithwhomtheyhaveconcludedavalidSponsorshipAgreementpursuanttoRule12.19.10;or
(b) wheretheParticipantSponsoredHolderdoesnotgivenoticeunderClause8.4.(a),ASXSettlementmayeffectachangeofControllingParticipantunderRule12.19.11andtheParticipantSponsoredHolderwillbedeemedtohaveenteredintoanewSponsorshipAgreementwiththesubstituteParticipantonthesametermsastheexistingSponsorshipAgreement.WhereaParticipantSponsoredHolderisdeemedtohaveenteredintoaSponsorshipAgreement,thenewParticipantmustenterintoaSponsorshipAgreementwiththeParticipantSponsoredHolderwithinten(10)BusinessDaysofthechangeofControllingParticipant.
8.5 TheParticipantSponsoredHolderacknowledgesthatbeforetheParticipantSponsoredHolderexecutedtheAgreement,theParticipantprovidedtheParticipantSponsoredHolderwithanexplanationoftheeffectoftheSponsorshipAgreementtotheParticipantSponsoredHolderandtheParticipantSponsoredHolderunderstandstheeffectoftheAgreement.
8.6 TheParticipantSponsoredHolderacknowledgesthatintheeventofthedeathorbankruptcyoftheParticipantSponsoredHolder,aHolderRecordLockwillbeappliedtoallParticipantSponsoredHoldingsinaccordancewiththeASXSettlementOperatingRules,unlesstheParticipantSponsoredHolder’slegallyappointedrepresentativeortrusteeelectstoremovetheParticipantSponsoredHoldingsfromtheCHESSSubregister.
8.7 TheParticipantSponsoredHolderacknowledgesthatintheeventofthedeathoftheParticipantSponsoredHolder,thisSponsorshipAgreementisdeemedtoremaininoperation,inrespectofthelegallyappointedrepresentativeauthorisedtoadministertheParticipantSponsoredHolder’sestate,subjecttotheconsentofthelegallyappointedrepresentative,foraperiodofuptothreecalendarmonthsaftertheremovalofaHolderRecordLockappliedpursuanttoClause8.6.
FORJOINTHOLDINgSONLY
8.8 TheParticipantSponsoredHolderacknowledgesthatintheeventofthedeathofoneoftheHolders,theParticipantshalltransferallHoldingsunderthejointHolderRecordintonewHoldingsunderanewHolderRecord,andthatthisSponsorshipAgreementremainsvalidforthenewHoldingsunderthenewHolderRecord.
8.9 TheParticipantSponsoredHolderacknowledgesthatintheeventofthebankruptcyofoneoftheHolderstheParticipantwill:
(a) unlessthelegallyappointedrepresentativeofthebankruptParticipantSponsoredHolderelectstoremovetheParticipantSponsoredHoldingsfromtheCHESSSubregister,establishanewHolderRecordinthenameofthebankruptParticipantSponsoredHolder,transfertheinterestofthebankruptParticipantSponsoredHolderintonewHoldingsunderthenewHolderRecordandrequestthatASXSettlementapplyaHolderRecordLocktoallHoldingsunderthatHolderRecord;and
(b) establishanewHolderRecordinthename(s)oftheremainingParticipantSponsoredHolder(s)andTransfertheinterestoftheremainingParticipantSponsoredHolder(s)intonewHoldingsunderthenewHolderRecord.
9.0 CHANgEOFCONTROLLINgPARTICIPANT
9.1 IftheParticipantSponsoredHolderreceivesaParticipantChangeNoticefromtheControllingParticipantoftheParticipantSponsoredHoldingandtheParticipantChangeNoticewasreceivedatleast20BusinessDayspriortothedateproposedintheParticipantChangeNoticeforthechangeofControllingParticipant,theParticipantSponsoredHolderisundernoobligationtoagreetothechangeofControllingParticipant,andmaychoosetodoanyofthethingssetoutinclauses9.2or9.3.
9.2 TheParticipantSponsoredHoldermaychoosetoterminatetheAgreementbygivingWithdrawalInstructionsundertheASXSettlementOperatingRulestotheControllingParticipant,indicatingwhethertheParticipantSponsoredHolderwishesto:
(a) transferitsParticipantSponsoredHoldingtoanotherControllingParticipant;or
(b) transferitsParticipantSponsoredHoldingtooneormoreIssuerSponsoredHoldings.
9.3 IftheParticipantSponsoredHolderdoesnottakeanyactiontoterminatetheagreementinaccordancewith9.2above,anddoesnotgiveanyotherinstructionstotheControllingParticipantwhichwouldindicatethattheParticipantSponsoredHolderdoesnotagreetothechangeofControllingParticipantthen,ontheEffectiveDate,
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theAgreementwillhavebeentakentobenovatedtotheNewControllingParticipantandwillbebindingonallpartiesasif,ontheEffectiveDate:
(a) theNewControllingParticipantisapartytotheAgreementinsubstitutionfortheExistingControllingParticipant;
(b) anyrightsoftheExistingControllingParticipantaretransferredtothenewControllingParticipant;and
(c) theExistingControllingParticipantisreleasedbytheParticipantSponsoredHolderfromanyobligationsarisingonoraftertheEffectiveDate.
9.4 Thenovationinclause9.3willnottakeeffectuntiltheParticipantSponsoredHolderhasreceivedanoticefromtheNewControllingParticipantconfirmingthattheNewControllingParticipantconsentstoactingastheControllingParticipantfortheParticipantSponsoredHolder.TheEffectiveDatemayasaresultbelaterthanthedatesetoutintheParticipantChangeNotice.
9.5 TheParticipantSponsoredHolderwillbetakentohaveconsentedtotheeventsreferredtoinclause9.4bythedoingofanyactwhichisconsistentwiththenovationoftheAgreementtotheNewControllingParticipant(forexamplebygivinganinstructiontotheNewControllingParticipant),onoraftertheEffectiveDate,andsuchconsentwillbetakentobegivenasoftheEffectiveDate.
9.6 TheAgreementcontinuesforthebenefitoftheExistingControllingParticipantinrespectofanyrightsandobligationsaccruingbeforetheEffectiveDateand,totheextentthatanylaworprovisionofanyagreementmakesthenovationinclause9.3notbindingoreffectiveontheEffectiveDate,thentheAgreementwillcontinueforthebenefitoftheExistingControllingParticipantuntilsuchtimeasthenovationiseffective,andtheExistingControllingParticipantwillholdthebenefitoftheAgreementontrustfortheNewControllingParticipant.
9.7 Nothinginthisclause9willpreventthecompletionofCHESStransactionsbytheExistingControllingParticipantwheretheobligationtocompletethosetransactionsarisesbeforetheEffectiveDateandtheAgreementwillcontinuetoapplytothecompletionofthosetransactions,notwithstandingthenovationoftheAgreementtotheNewControllingParticipantunderthisclause9.
10.0CLAIMSFORCOMPENSATION
10.1AsaParticipantoftheASXGroupanyclaimforcompensationcanbelodgedwiththeNationalGuaranteeFundwhichoperatesasacompensationarrangementforinvestorswhomaysufferlossduetothedefalcationbyParticipantsinrelationtoequitiesandwarrantsandexchangetradedoptions.
10.2IftheParticipantbreachesaprovisionofthisAgreementandtheParticipantSponsoredHoldermakesaclaimforcompensationpursuanttothatbreach,theabilityoftheParticipanttosatisfythatclaimwilldependonthefinancialcircumstancesoftheParticipant.
10.3IfabreachbyaParticipantofaprovisionofthisAgreementfallswithinthecircumstancesspecifiedunderPart7.5,Division4oftheCorporationsRegulations,aParticipantSponsoredHoldermaymakeaclaimontheNationalGuaranteeFundforcompensation.(FormoreinformationonthecircumstancesinwhichaParticipantSponsoredHoldermaymakeaclaimontheNationalGuaranteeFundorforinformationontheNationalGuaranteeFundgenerally,contacttheSecuritiesExchangeGuaranteeCorporationLimited).
10.4TheParticipantSponsoredHolderacknowledgesthattheParticipantshallnotberequiredtoprovideanexecutedcopyofthisAgreementtotheParticipantSponsoredHolderunlessrequestedbytheParticipantSponsoredHolder.
11.0TERMINATION
11.1SubjecttotheASXSettlementOperatingRules,thisAgreementwillbeterminatedupontheoccurrenceofanyofthefollowingevents:
(a) bynoticeinwritingfromeithertheParticipantSponsoredHolderortheParticipanttotheotherpartytothisAgreement;
(b) upontheParticipantbecominginsolvent;or
(c) upontheterminationorsuspensionoftheParticipant.
(d) uponthegivingofWithdrawalInstructionsbyaParticipantSponsoredHoldertoaControllingParticipantinaccordancewithRule7.1.10(c).
11.2TerminationunderClause11.1(a)willbeeffectiveuponreceiptofNoticebytheotherpartytotheAgreement.
12.0VARIATION
12.1ShouldanyoftheprovisionsinthisAgreementbeinconsistentwiththeprovisionsintheASXSettlementOperatingRules,theParticipantshall,bygivingtheParticipantSponsoredHoldernotlessthanseven(7)BusinessDayswrittenNotice,varytheAgreementtotheextenttowhich,intheParticipant’sreasonableopinion,itisnecessarytoremoveanyinconsistency.
TERMSANDCONDITIONSOFONLINEACCESS
(FORINFORMATIONSERVICESANDINTERNETTRADINg)
InconsiderationoftheParticipantprovidingaccesstotheTradingSiteanditsServicestoYou,Youagreetoabidebythefollowingtermsandconditions:
1.0DEFINITIONSInthesetermsandconditions:
AFSLmeansAustralianFinancialServicesLicence;
AML/CTF LawsmeanstheAnti-MoneyLaunderingandCounter-TerrorismFinancingAct2006(Cth)andsubordinateregulationsasamendedfromtimetotime,andincludesguidelinesandpublicationsproducedbytheAustralianTransactionReportsandAnalysisCentre(orsuccessororganisation)fromtimetotime;
ASIC meanstheAustralianSecurities&InvestmentsCommission;
ASIC Market Integrity RulesmeansthemarketintegrityrulesofASICasamendedfromtimetotime;
ASXmeanstheAustralianSecuritiesExchangeLimitedABN98008624691;
ASX Clear meansASXClearPtyLimitedABN48001314503;
ASX Clear Operating RulesmeanstherulesgoverningtheoperationoftheclearingfacilityoperatedbyASXClearasamendedfromtimetotime;
ASX OperatingRulesmeansthemarketrulesoftheASXasamendedfromtimetotime;
ASX SettlementmeanstheASXSettlementPtyLtdABN49008504532asapprovedastheSecuritiesClearingHouseundertheCorporationsAct;
Business DaymeansadayonwhichbanksareopenforbusinessinSydney,Australia,anddoesnotincludeSaturdays,Sundaysorpublicholidays;
Cash Account meanstheaccountreferredtointheTermsandConditionsCashAccountorYournominatedbankorfinancialinstitutionaccountusedforthesettlementofsecuritiesandpaymentforserviceswhereclearedfundsaretransferredtoandfromYourAccount;
CHESS HoldingmeansanuncertificatedholdingofsecuritiesonasubregisterforthatclassofsecuritiesmaintainedbyASXSettlement;
Cleared funds meansfundsavailableintheCashAccountorYourAccountforthepurposesoftradingandpaymentforservices;
Conditional Order InstructionmeansaninstructionyougivetoustoplaceanorderforaSecurityonthemarket:
(a) whentheTriggeroccurs;and
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(b) atapriceinaccordancewiththeLimit.
Derived InformationmeansanypartoftheInformationoranydataderivedinanywayfromthemanipulationoftheInformationoranypartoftheInformation;
Guaranteed Moneymeansallmoney,obligationsandliabilitiesofanykindofYouthatarenowormayinthefuturebecomedue,owingorpayable,whetheractually,contingentlyorprospectivelytoorfortheaccountoftheParticipant,underorinrelationtothesetermsandconditionsincludingwithoutlimitationonaccountofprincipal,interest,fees,expenses,indemnitypayments,lossesordamages;
Guarantor means,ifYouareacompany,eachdirectorandotherofficerwhosenameisshownontheapplicationformandanypersonwhosubsequentlybecomesGuarantorofYourobligationsinrespectofthesetermsandconditions.Ifthereismorethanone,Guarantormeanseachofthemseparatelyandeverytwoormoreofthemjointly.Guarantorincludessuccessors;
Information meansinformationincluding(butnotlimitedto)stockmarketinformation,news,updates,analyses,dataandresearchmaterialsrelatingtosecuritiestowhichtheParticipanthasaccessfromtimetotime;
Information ProvidersmeanstheAustralianSecuritiesExchangeLimitedanditsrelatedcorporations,andindependentprovidersofnews,researchandreportingservices;
Limitmeanstheminimumpriceatwhichweareinstructedtosell,orthemaximumpriceatwhichweareinstructedtopurchase,theSecurityunderyourConditionalOrderInstruction;
Participant, we,usor our meansAustralianInvestmentExchangeLtdABN71076515930ofGroundFloor,Tower1,201SussexStreet,SydneyNSW2000,aParticipantoftheASXGroupandAustralianFinancialServicesLicenseeNo241400;
Prescribed Requirementmeansarequirementinanylaw,theASXSettlementOperatingRules,ASICMarketIntegrityRules,ASXOperatingRulesortheASXClearOperatingRules;
Proscribed PersonmeansapersonwhoappearstotheParticipanteither:
(a) tobeaproscribedpersonorentityundertheCharteroftheUnitedNationsAct1945(Cth);
(b) tobeinbreachofthelawsofanyjurisdictionrelatingtomoneylaunderingorcounter-terrorism;
(c) toappearinalistofpersonswithwhomdealingsareproscribedbythegovernmentoraregulatoryauthorityofanyjurisdiction;
(d) actonbehalf,orforthebenefitof,apersonlistedinsub-clauses(a)–(c).
Security orsecuritiesincludesfinancialproducts;
Services meansalloranyoftheonlineservices(ortelephonerelatedservicesaccessedthroughtheParticipantcallcentre)providedbytheParticipantfromtimetotime;
STPmeansstraightthroughprocessing,whichreferstotheautomatedprocessingofasecuritiestradethroughASX’stradingplatform,withoutanymanualinterventionorduplicateprocessing;
Terms of IssuehasthesamemeaninggiventoitintheASXOperatingRules;
Trading Limit meansanallowablelimitapprovedbytheParticipantforthepurchasesofapprovedsecuritiesnominatedbytheParticipant;
Trading SitemeanstheinternetsiteaddressnotifiedtoYouthroughwhichaccessisgainedtosharemarkettradingfunctions;
Trading StatushasthesamemeaninggiventoitintheASXOperatingRules;
Triggermeanscriteriathatareacceptabletous,whichyounominateforyourConditionalOrderInstruction,which,whensatisfied,causesustoplaceanorderfortheSecurityonthemarket;
Warrant hasthesamemeaninggiventoitintheASXOperatingRules;
Warrant-IssuerhasthesamemeaninggiventoitintheASXOperatingRules;
Youmeanstheperson,personsorcompanytowhomtheParticipantprovidestheServicesthroughtheTradingSiteandtotheextentrelevant,includesYourauthorisedrepresentative;
Your AccountmeansthesharetradingaccountopenedbyYouwiththeParticipant.
2.0 LIMITEDRIgHTOFACCESS
2.1 IfYouaremorethanoneperson,thenallpersonsarejointlyandseverallyboundbythesetermsandconditions.
2.2 TheParticipantgrantstoYouforYouruseonly,alimitednon-transferable,non-exclusiverighttoaccesstheTradingSiteforthepurposeofusingtheServices.
2.3 YouacknowledgethattheParticipantreservestherighttorefuseanyapplicationtoprovideaccesstotheTradingSiteandtheServicesintheParticipant’sabsolutediscretion.
2.4 YouacknowledgethattheParticipantreservestherighttoterminateorsuspendYouraccesstotheTradingSiteandtheServicesatanytimewithoutpriornoticeif,forexample,wesuspectthat:
(a) YourAccounthasbeenaccessedfraudulently;
(b) YouareaProscribedPerson;
(c) Youhaveattemptedmarketmanipulation;or
(d) Youhavecommittedfraudulent,illegalorunauthoriseddealingsonYourAccount.
Withoutlimitingourrightsunderparagraphs(a)to(d),wemayterminateorsuspendYouraccesstotheTradingSiteandtheServicesforreasonsotherthantheonesmentionedabove.
2.5 YouraccesstotheTradingSiteanduseofServicesaresubjecttotheusualaccessandServicesguidelinesandpoliciesoftheParticipant.
2.6 TheParticipantcompliesatalltimeswithallAustralianlawapplyingtoanyofferofsecuritiesbytheParticipantandanyofferofsecuritiesismadeonlytoAustralianresidents.IfYouarenotanAustralianresident,thentheParticipantmakesnorepresentationwhatsoevertoYouastoanyforeignlawwhichmayapplytotheofferofsecuritiesbytheParticipant.IfYouareinanydoubtastoanyforeignlawapplyingtosecuritiestransactionsbyYouwiththeParticipantthenYoushouldobtainYourownindependentforeignlawlegaladvice.
3.0 SECURITYIDENTIFICATION
3.1 Youwillnominateaconfidentialpassword,Username,orphoneidentificationpassword(collectively‘IndividualUsername’)inorderthatYoumayidentifyYourselftoaccesstheTradingSiteoroverthephoneinordertousetheServices.
3.2 YouandYourauthorisedrepresentative(s)aresolelyresponsiblefortheconfidentialityanduseofYourIndividualUsername.YouwillnotifytheParticipantimmediatelyifYoubecomeawareofanylossortheftorunauthoriseduseofYourIndividualUsernameoranypartthereof.AftersuchnotificationtheParticipantshallassoonasreasonablypossibledisableaccesstotheTradingSiteandServicesforsuchIndividualUsernameandshallissueareplacementIndividualUsernameaccordingly.
3.3 TheParticipantisentitledtoassumethatanyinstructionreceivedcontainingalloranypartoftheIndividualUsernameoriginatesfromYouortheauthorisedrepresentativetowhomtheIndividualUsernameisassignedandthatsuchinstructionisavalidinstructiontoaccesstheServices.TheParticipantisnotobligedtoinquireintothevalidityofanysuchinstructionreceived.
3.4 TheParticipantdeemsthatthepersonusinganIndividualUsernameoranypartofittoaccesstheTradingSiteandtheServicesisthepersontowhomtheIndividualUsernameisassignedto.
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4.0 YOURINSTRUCTIONS
4.1 TheParticipantreservestherightatalltimestodeclinetoacceptYourinstructionswithoutgivinganyreasonorexplanationorpriornoticeif,forexample:
(a) weconsiderthatacceptingtheinstructionwouldnotbeconsistentwithafairandorderlymarket;
(b) itisnotpossibleforustoplaceanorderonthemarket;
(c) webelieveYourinstructionsareambiguous,incompleteorunclear;or
(d)thesecurityissubjecttoatradinghalt.
Withoutlimitingourrightsunderparagraphs(a)to(d),wemaydeclinetoacceptYourinstructionsforreasonsotherthantheonesmentionedabove.
4.2 Withoutlimitationtoclause4.1theParticipantreservestherighttodeclinetoactonYourbehalforacceptYourinstructionswhereYourinstructionsarebelievedbytheParticipanttobeunclear,ambiguousorincomplete.
4.2AYouacknowledgeandagree:
(a) ThatifyouorasignatoryappearstobeaProscribedPerson,thentheParticipantmayimmediatelyrefusetoprocessorcompleteanytransactionordealingofyours;suspendtheprovisionofaproductorservicetoyou;refusetoallowortofacilitateanyofyourassetsheldbyustobeusedordealtwith;refusetomakeanyassetavailabletoyouortoanyotherproscribedpersonorentity;orterminatethesearrangementswithyou.TheParticipantwillbeundernoliabilitytoyouiftheParticipantdoesanyorallofthesethings.TheParticipant’srightsunderthisclauseareinadditiontoallotherrightswhichtheParticipantmayhave.
(b) ThatiftheParticipantexercisesitsrightsundersub-clause4.2A(a),youmustpaytheParticipantanydamages,losses,costsorexpensesthattheParticipantincursinrelationtoanyactiontakenundersub-clause4.2A(a),includingwithoutlimitationadministrativecostsand/orcostsofsaleorpurchaseofanytransactionordealputinplaceforthepurposesofmeetingtheParticipant’sobligationsunderthesetermsandconditions.
4.3 YouauthorisetheParticipanttoacceptinstructionsonYourbehalffromYourauthorisedrepresentative(s)andYouconfirmthatYourauthorisedrepresentative(s)has/havethepowertodothefollowinginYournameandonYourbehalffromtimetotimeto:
(a) giveinstructionstotheParticipantonYourbehalf;and
(b) accesstheTradingSiteandusetheServices.
4.4 YouagreetoratifyandconfirmallactionscarriedoutbytheParticipantontheinstructionsofYourauthorisedrepresentative(s).
4.5 WhenYouaremorethanoneperson,theParticipantmayacceptinstructionsfromoneormoreofYouonbehalfofallofYou.
4.6 YouareresponsibleforfraudulentillegalorunauthoriseddealingsonYourAccountwhichareattributabletoYourconduct,andyoureleaseanddischargeusfromliabilityinthisregardandwillindemnifytheParticipantfromallloss,costsandexpensesarisingfromsuchdealings.
4.7 TheParticipanthastherighttorequestwrittenconfirmationofinstructionsbeforeactingonanyinstructionsfromYouorYourauthorisedrepresentative(s).
4.8 TheParticipantmayassumetheauthenticityofanyinstructionsgivenorpurportedlygivenorally,inwritingorbyelectronicmeans(includinganyelectronicinstructionswhichincludealloranypartofYourIndividualUsername)byYouorYourauthorisedrepresentative(s),orthatanypersonclaimingtobeYourauthorisedrepresentativeisinfactthatperson.TheParticipantisnotobligedtoenquireintoanyofthemattersmentionedinthisconditionandYouauthorisetheParticipanttoactuponsuchinstructionsitreasonablybelievestobeauthentic.
4.9 TheParticipantwilluseitsbestendeavourstoexecuteYourinstructions,buttheParticipantwillnotguaranteethatYourinstructionswillbewhollyorpartiallyexecutedorwillbeexecutedbyacertaintime,because,forexample:
(a) Yourordermayneedtobemanuallyvetted;
(b) thesecuritymaybetoothinlytraded;
(c) thepricefortheLimitmaybetoofarfromthepriceatwhichthesecurityiscurrentlytraded;or
(d)thesecuritymaybesubjecttoatradinghalt.
Withoutlimitingourrightsunderparagraphs(a)to(d),wemaynotexecuteyourinstructionswhollyorpartiallyorbyacertaintimeforreasonsotherthantheonesmentionedabove.
4.10YouauthoriseandappointtheParticipant,eachofitsdirectorsandemployeesasYourattorneytoenterintoanycontractoragreementwithanotherpartyonYourbehalfuponreceivingYourinstructions(suchinstructionsmaybegivenbyYouelectronicallyandacceptedbytheParticipantinaccordancewithclause4.8)todoso.YouacknowledgethatallliabilityforsuchcontractsisYoursalone.YouwillindemnifytheParticipantagainstallloss,expenseoranyotherliabilityinrelationtosuchcontractsoragreements.
4.11YouauthorisetheParticipanttorecordanytelephonecommunicationsbetweenYourself,Yourauthorisedrepresentative(s)andtheParticipant,withorwithoutanaudibletone-warningdevice.YouacknowledgethatanyrecordingistheParticipant’spropertyandthattheParticipantreservestherighttochargeyouacostrecoveryfeeforaccesstoarecording.Youshallrecordallrelevantdetailsofanyconversationyouhavewithus,includingthenameoftheoperatorandthedateandtimeofthecall,andyouacknowledgethattheParticipantwillaskyouforthisinformationwhenyouseekaccesstoarecording.
4.12Incaseofdispute,theParticipant’srecordsofelectronicortelephonecommunicationsorfacsimiletransmissionshallbeconclusiveevidenceofthedetailsofthecommunicationsbyemail,internet,telephoneorfacsimile(asthecasemaybe)betweenYouandtheParticipant.
5.0 ACKNOWLEDgEMENTSANDREPRESENTATIONS
5.1 IfYouareatrusteeoranagent,Youareboundbythesetermsandconditionsasatrusteeoranagent,andpersonally.IfYouareacorporation,thedirectorsarealsoboundbythesetermsandconditions.
5.2 YouwarrantthatYouhavethepowerandtheauthoritytoagreetothesetermsandconditions,andtocarryoutYourobligationsunderthem.IfYouareacorporation,YouwarrantthatYouholdavalidACN,ABNorARBN.
5.3 YouauthorisetheParticipanttoprovideinformationaboutYoutoanyofitsrelatedentitiesandtheirrespectiveofficersandemployees(foraccountingandotherpurposes,includingmarketingfurtherservicestoyou).IfyouhavebeenreferredtotheParticipantbyathirdparty(“Referrer”)fortheParticipanttoprovideYouwithtrading,settlement,clearingorotherservices,YoualsoauthorisetheParticipanttosupplyinformationaboutYou(thattheParticipantmaycollectorholdfromtimetotime)totheReferrer.Theinformationmayinclude,butisnotlimitedto:detailsofordersplacedandtradesenteredintobyYou,othertransactionsconductedbyYouthroughorinconnectionwiththeTradingSite,andotherinformationconcerningYouthattheParticipantmayreceivefromYouruseoftheTradingSiteoranyassociatedwebsite,butexcludingYoursecuritydetails.YouauthorisetheReferrertouseYourinformationtocalculateanycommissionsduetoitfromtheParticipantbasedontradesandservicesenteredintobyYoubytheParticipant,andforusebytheReferrerinmarketingfurtherservicestoYou.
6.0 USEOFINFORMATION
6.1 Youmustnoteitheraloneorinconjunctionwithanyotherperson:
(a) supplyormakeavailableorpermittobesuppliedormadeavailabletheInformationorDerivedInformationtoanythirdperson;
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(b) store,processordealwiththeInformationorDerivedInformationinanywayexceptforYourownpersonaluse;
(c) allowanyunauthorisedpersontogainaccesstotheInformationorDerivedInformation;
(d) usetheInformationorDerivedInformationtoestablish,maintainorprovide(orassistinestablishing,maintainingorproviding)anunauthorisedmarketfortradinginsecurities;orreverseengineeranyprogramsorprotocolsusedinconnectionwiththeInformationorServices.
6.2 YouacknowledgethattheuseoraccessoftheTradingSitewillnotbefreefromanyfault,errorordefectsindesignorengineering.
6.3 Youacknowledgethatthetransmissionspeed,formatorcontentoftheInformationandDerivedInformationmaybechangedwithoutanypriornotice.
6.4 Youacknowledgethat:
(a) theInformationandDerivedInformationhavebeenpreparedanddistributedforgeneralinformationonly,andarewithoutconsiderationtoYouroranyperson’sinvestmentobjectives,financialsituationorparticularneeds;
(b) theInformationandDerivedInformationisnotarecommendationthataparticularcourseofactionissuitableforYouoranyperson;
(c) theInformationandDerivedInformationmaynotbeappropriatetoYouandthatanydecisionmadebyYouisbasedonYourownjudgementoronindependentadvice,butinnocasereliesontheInformationorDerivedInformationoranypartofit;and
(d) theInformationmaybesubjecttoadditionalconditionsimposedbythirdpartydataownersandthirdpartydataproviders.
7.0 FEES
7.1 Youagreetopaysubscriptionfees,royaltychargesandanyotherchargesasspecifiedbytheParticipantfromtimetotime.YoualsoagreetoreimbursetheParticipantforanyfees,taxes,consumptionorvalue-addedtaxoranyotherchargesleviedinrelationtotheServices.TheParticipantreservestherighttovarysuchfeesandcharges,andthemethodofchargingatanytime,withoutpriornotice.
7.2 Ifthegoodsandservicestax(“GST”)hasapplicationtothesupplyofServicesbytheParticipant,theParticipantwillinadditiontoanyamountorconsiderationpayableunderthesetermsandconditions,recoverfromYouanadditionalamountonaccountoftheapplicableGST.
7.3 YouagreethattheParticipantmayreceivecommissionsfromanyotherpartyarisingfromYouruseoftheServicesandtheParticipantisnotobligedtorebatethesecommissionstoYou.
7.4 YouagreethattheParticipantmaypaycommissionsonbrokeragereceivedbytheParticipantfromYoubasedontradesenteredintobyYou.
7.5 YouirrevocablyauthorisetheParticipanttodeductfromanyCashAccountYouhaveestablishedthroughtheParticipant,ordirectdebitbankaccountauthorityprovidedbyYou,suchamountsowingbyYoutotheParticipantorarelatedentityoftheParticipant.
8.0 RELEASE
8.1 YoureleasetheParticipant,theInformationProvidersandtheirrespectiveemployeesandagentsfromanyobligationorliabilityofanykindtoorthroughYouwithrespecttothetransmission,provision,oruseoftheServices,theInformationorDerivedInformationoranypartthereofand,withoutlimitingthegeneralityoftheforegoing,foranydelays,interruptions,errorsoromissionshowsoeveroccasioned,providedthattheParticipanthasactedingoodfaithandwithoutnegligence.
8.2 Tothemaximumextentpermittedbylaw,YouacknowledgethattheParticipant,theInformationProvider,andtheirrespectiveemployeesandagentswillnotbeliabletoYouoranyoneelsefor
anylossordamage,whetherdirectorindirect,special,incidentalorconsequentialoreconomic(includinglossofprofits),whetherornottheParticipantkneworcouldhaveknownofthepossibilityofsuchdamage,wherethatdamagearisesfrom:
(a) delay,interruption,omission,failure,errororfaultintheexecutionofYourinstructions;
(b) delayintheexecutionofYourinstructionsarisingfromareviewofYourinstructionsbytheParticipant;
(c) anyerror,omissions,non-receiptorinvalidityinYourinstructions;
(d) anyfault,error,defectorengineeringoftheTradingSiteortheParticipant’scomputersystems,oranydelay,fault,failureinorlossofaccesstotheTradingSite;and
(e) anycausebeyondthereasonablecontroloftheParticipant,includingbutnotlimitedto,failureofelectronicormechanicalequipmentorcommunicationlines,unauthorisedaccessorlabourproblems.
8.3 TheParticipant,theInformationProvidersandtheirrespectiveemployeesandagentsdonotgiveanyrepresentationsorwarrantiesastotheavailability,accuracy,completeness,currencyorreliabilityoftheInformationorDerivedInformation,ortheresultstobeobtainedfromtheInformationorDerivedInformation;andtheParticipantexpresslydisclaimsallandanyliabilitytoYouoranypersonforanydamageorloss(directorindirect,special,incidentalorconsequentialoreconomic)resultingfromtheuseoforrelianceontheInformationorDerivedInformationoranypartthereofbyYouoranyotherperson.
8.4 Nothinginsub-clauses8.1,8.2,8.3and8.5shallexcludeanyimpliedconditionorwarrantyforyourbenefittheexclusionofwhichwouldcontraveneanystatuteorcauseanypartofthesetermsandconditionstobevoidorinvalid.
8.5 Totheextentpermittedbylaw,anyliabilitytoYouforanyreasonislimitedtotherestorationoftheServicetoYou,butifthatisnotpossibleorappropriate,thentherefundofthefeespaidbyYouinrelationtothesupplyofInformationorDerivedInformationforthemonthinwhichthecauseofliabilityarises.
9.0 INTELLECTUALPROPERTYRIgHTS
9.1 YouacknowledgethatallcopyrightandotherintellectualpropertyrightsofwhatevernatureintheInformationandDerivedInformation,andtheelectronicmeansoftransmissionoftheInformationandDerivedInformation,areandwillremainvestedintheParticipantortheInformationProvidersoranyofthem.YouwillpromptlynotifytheParticipantofanyimproperorunlawfuluseoftheInformationorDerivedInformationorinfringementofanyofthecopyrightorotherintellectualpropertyrightsintheInformationorDerivedInformationthatcomestoYournotice.
10.0VARIATIONANDTERMINATION
10.1YoumayterminateYouraccesstotheTradingSiteandServicesbygivingnotlessthanfive(5)businessdays’writtennoticetotheParticipant.Terminationwillnotaffectanyrightsorobligationsaccruedpriortotermination.
10.2TheParticipantmayterminateYouraccesstotheTradingSiteandServicesatanytimeandwithoutpriornotice,subjecttoalloutstandingobligationsbeingdulydischarged,if,forexample,wesuspectthat:
(a) YourAccounthasbeenaccessedfraudulently;
(b) YouareaProscribedPerson;
(c) Youhaveattemptedmarketmanipulation;or
(d) Youhavecommittedfraudulent,illegalorunauthoriseddealingsonYourAccount.
Withoutlimitingourrightsunderparagraphs(a)to(d),wemayterminateorsuspendYouraccesstotheTradingSiteandthe
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Servicesforreasonsotherthantheonesmentionedabove.
10.3TheParticipantreservestherighttovarythesetermsandconditionsto:
(a) add,changeorremoveanyconcessionsorbenefits;
(b) adoptorimplementanylegalrequirement,decision,recommendation,regulatoryguidanceorstandardofanycourt,tribunal,orombudsmanserviceregulator;
(c) accommodatechangesintheneedsorrequirementsofourclients,suchasnewproductfeaturesorservices;
(d) correcterrors,inconsistencies,inadvertentomissions,inaccuraciesorambiguities;
(e) bringusintolinewithourcompetitors,industryormarketpracticeorbestpracticeinAustraliaoroverseas;or
(f) reflectchangesintechnologyorourprocessesincludingourcomputersystems.
Eachofthechangesinparagraphs(a)to(f)isaseparaterightandthisclauseistobereadasifsuchchangewasaseparatelyexpressedright.
Withoutlimitingourrightsunderparagraphs(a)to(f),wemayfromtimetotimevarychangeanyofthetermsandconditionsforreasonsotherthantheonesmentionedabove(e.g.duetounforeseenevents).
AnyvariationofthesetermsandconditionsshallapplytoalldealingsbetweenYouandtheParticipantonandfromthedayonwhichthevariationtakeseffect.
IftheParticipantvariesthesetermsandconditions,theParticipantwillgivenotlessthanseven(7)daysnoticetoyouatthepostalorelectronicaddresslastnotifiedtotheParticipantbyyou,orattheParticipant’swebsite.
AlsotheParticipantmayuseitsIVRfacilitytonotifyyouofamendment(s),andprovideinformationaboutwhereyoucanaccessfulldetailsoftheamendment(s).
10.4However,theParticipantdoesnotneedtogiveYouadvancenoticewhereanyvariationofthesetermsandconditionsisrequiredtocomplywithaprescribedrequirementorisnecessitatedbyanimmediateneedtorestoreormaintainthesecurityofthesystemorindividualaccounts.
11.0NOTICE
11.1Anynoticegiven,ordemandmadebytheParticipant,maybemadebyfacsimile,bypostorbyemailtothelastnotifiedaddress,facsimilenumberoremailaddressasthecasemaybe.Suchnoticeordemandshallbedeemedtohavebeenreceived:
(a) ifgivenbypostwillbedeemedtohavebeenreceivedonthethirdBusinessDayfollowingposting;
(b) ifgivenbyfacsimile,willbedeemedtohavebeenreceiveduponproductionofatransmissionreportbythemachinefromwhichthefacsimilewassentwhichindicatesthatthefacsimilewassentinitsentiretytothefacsimilenumberoftherecipient;
(c) ifgiventoyouelectronicallywillbedeemedtohavebeenreceivedupondelivery(andadeliveryreportreceivedbyuswillbeconclusiveevidenceofdeliveryevenifthecommunicationisnotopenedbyyou);and
(d) ifgiventouselectronicallywillbedeemedtohavebeenreceiveduponbeingopenedbyus.
12.0 (DELETED)
13.0APPLICABLELAW
13.1ThisAgreementshallbegovernedbythelawsoftheStateofNewSouthWales,andthepartiessubmittothejurisdictionofthatState,buttheParticipantmaycommenceproceedingsinanothercompetentjurisdiction.
14.0 FAIRgOPOLICY
14.1TheParticipantendeavourstoprovideaqualityservicetoallourcustomersatalltimes.Thispolicyisdesignedtoensurethatnoclientisunfairlydisadvantagedbythebehaviourofotherclients.Allfreeaccesstoourwebsiteandotherservicesissubjecttoreasonableusage.Excessiveusageoftheseservicesmaybetothedetrimentofothercustomers.IfatanytimetheParticipantconsidersacustomer’susagetobeunreasonable,theParticipantmaysuspendorrefuseaccesstoourservices.
Examplesofunreasonableuseinclude:
(a) someexternalquoteproductsrefreshpricequoteseveryfivesecondsduringasix-hourtradingday–thistypeofusagemaybeconsideredtobeunreasonable;and
(b) clientscallingexcessivelyforextensivepricequoteinformationonlycancauselengthydelaysforothertelephonecustomers.
Themonitoringofusageensurestheavailabilityofourfreeservicestoallcustomers.
14.2YouacknowledgethatYouhavereadtheParticipant’s“FairGoPolicy”inclause14.1.YouagreethatYouwillaccessandusetheTradingSiteinaccordancewiththeFairGoPolicy(asamendedfromtimetotime).
Inparticular,byaccessingtheTradingSiteYouagreeandacknowledgethat:
(a) allfreeaccesstotheTradingSiteandotherservicesissubjecttoreasonableusage;and
(b) ifatanytimetheParticipantinitsdiscretionconsidersacustomer’susagetobeunreasonable,theParticipantmaysuspendorrefuseaccesstoitsservices,includingtheTradingSite.
15.0SEVERANCE
15.1Ifanypartofanyofthesetermsandconditionsisfoundtobevoidorunenforceableforunfairnessoranyotherreason(forexample,ifacourtorothertribunalorauthoritydeclaresitso),theremainingpartsofthesetermsandconditionswillcontinuetoapplyasifthevoidorunenforceableparthadneverexisted.
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TERMSANDCONDITIONSOFSHARE TRADINgACCOUNTThesetermsandconditionsapplytoYoursharetradingaccountwiththeParticipantinrelationtotheprovisionofstockbrokingexecution,clearing,settlementandotherservicesasofferedbytheParticipantfromtimetotime.
1.0DEFINITIONS
TermswhicharedefinedintheASXSettlementOperatingRuleshavethesamemeaninginthesetermsandconditions.
2.0 gENERAL
2.1 ThesetermsandconditionsapplytoalldealingsbetweenYouandtheParticipantandaresubjecttotheCorporationsAct(includingtheASICMarketIntegrityRules),theRules,procedures,customs,usagesandpracticesoftheASXandASXSettlementasamendedfromtimetotimeandinternationalanddomesticantimoneylaunderingandcounterterrorismlaws.
2.2 YouacknowledgethattheASXhasthepowertocancel,amendorrequirethecancellationoramendmentofmarkettransactionsorcrossingsandaccordinglyYouwillbeboundbyanydecisionrelatingtothecancellationoramendmentofamarkettransactionorcrossing.
2.3 EachdealingisalsosubjecttothetermsoftherelevantconfirmationissuedbytheParticipant,subjecttocorrectionoferrorsandomissions,andtheusualtradingguidelinesandpoliciesoftheParticipant.
TherelevantconfirmationissubjecttoanyapplicablePrescribedRequirement,includingtheASXOperatingRules,theASICMarketIntegrityRulesandtheCorporationsAct.
2.4 EachdealingconductedattheTradingSiteisalsosubjecttotheParticipant’sTermsandConditionsofOnlineAccesssetoutattheTradingSiteatthetimeofdealing,asamendedfromtimetotime.
2.5 IfYouaremorethanoneperson,thenallpersonsarejointlyandseverallyboundbythesetermsandconditions.
Youacknowledgeandagree:
(a) ThatifyouorasignatoryappearstobeaProscribedPerson,thentheParticipantmayimmediatelyrefusetoprocessorcompleteanytransactionordealingofyours;suspendtheprovisionofaproductorservicetoyou;refusetoallowortofacilitateanyofyourassetsheldbyustobeusedordealtwith;refusetomakeanyassetavailabletoyouortoanyotherProscribedPersonorentity;orterminatethesearrangementswithyou.TheParticipantwillbeundernoliabilitytoyouiftheParticipantdoesanyorallofthesethings.TheParticipant’srightsunderthisclauseareinadditiontoallotherrightswhichtheParticipantmayhave;
(b) ThatiftheParticipantexercisesitsrightsundersub-clause2.5(a),youmustpaytheParticipantanydamages,losses,costsorexpensesthattheParticipantincursinrelationtoanyactiontakenundersub-clause2.5(a),includingwithoutlimitationadministrativecostsand/orcostsofsaleorpurchaseofanytransactionordealputinplaceforthepurposesofmeetingtheParticipant’sobligationsunderthesetermsandconditions.
2.6 YouacknowledgethattheParticipantreservestherighttorefuseanyapplicationtoopenasharetradingaccountintheParticipant’sabsolutediscretion.
2.7 YouacknowledgethattheParticipantreservestherighttoterminateorsuspendYourAccountatanytime,withoutpriornotice,if,forexample,wesuspectthat:
(a) YourAccounthasbeenaccessedfraudulently;
(b) YouareaProscribedPerson;
(c) Youhaveattemptedmarketmanipulation;or
(d) Youhavecommittedfraudulent,illegalorunauthoriseddealingsonYourAccount.
Withoutlimitingourrightsunderparagraphs(a)to(d),wemayterminateorsuspendYouraccesstotheTradingSiteandtheServicesforreasonsotherthantheonesmentionedabove.
2.8 YouagreetoenterintoaCHESSorParticipantSponsorshipAgreementwiththeParticipant.
2.9 YouirrevocablyauthorisetheParticipanttodeductfromanyCashAccountyouhaveestablishedthroughtheParticipantordirectdebitbankaccountauthorityprovidedbyYou,suchamountsowingbyYoutotheParticipantorarelatedentityoftheParticipant.
2.10YouagreeandacknowledgethatallproceedsofYour“Sell”ordersaretobepaidintoYourCashAccountoranybankaccountnominatedandauthorisedbyYouinwritingfromtimetotime.YouirrevocablydirecttheParticipanttodeductfromYourCashAccountfromtimetotimeandtothemaximumextentpermittedbytheCorporationsAct,anyandallamountsowedbyYoutotheParticipantunderorinconnectionwiththesetermsandconditions,includingwithoutlimitationanyamountsduetotheParticipantinrespectofanycosts,fees,expenses,taxesorreimbursements.
2.11YouagreethattheParticipantmayatanytimeandinitsdiscretionrequireYoutotransfertoanewCashAccount(whichincludesanyformofmoneymarketaccount)nominatedorapprovedbytheParticipant.YouirrevocablyauthorisetheParticipanttodoeverythingnecessaryonYourbehalftoarrangeandeffectthetransfertoanynewCashAccount.YouagreethatuponrequestbytheParticipantYouwilldoeverythingnecessarytoeffectanysuchtransfer.Youalsoagreethatthetermsofclause2.9andtherestofthisAgreementwillapplytoanynewCashAccountestablished.
2.12WedonotenterintotradeswithYouonourbehalf,butwemaytradewithYouonbehalfofoneofourrelatedbodiescorporate,ortocloseoutanerrorposition.
3.0 SECURITYIDENTIFICATION
3.1 Youwillnominateaconfidentialpassword,Username,orphoneidentificationpassword(collectively,“IndividualUsername”)inorderthatYoumayidentifyYourselftoaccesstheTradingSiteoroverthephoneinordertousetheServices.
3.2 YouandYourauthorisedrepresentative(s)aresolelyresponsiblefortheconfidentialityanduseofYourIndividualUsername.YouwillnotifytheParticipantimmediatelyifYoubecomeawareofanylossortheftorunauthoriseduseofYourIndividualUsernameoranypartthereof.AftersuchnotificationtheParticipantshallassoonasreasonablypossibledisableaccesstoYourAccountforsuchIndividualUsernameandshallissueareplacementIndividualUsernameaccordingly.
3.3 TheParticipantisentitledtoassumethatanyinstructionreceivedcontainingalloranypartoftheIndividualUsernameoriginatesfromYouortheauthorisedrepresentativetowhomtheIndividualUsernameisassignedandthatsuchinstructionisavalidinstruction.TheParticipantisnotobligedtoinquireintothevalidityofanysuchinstructionreceived.
3.4 TheParticipantdeemsthatthepersonusinganIndividualUsernameoranypartofitwhengivinginstructionsisthepersontowhomtheIndividualUsernameisassignedto.
3.5 YouundertakenottorevealtheIndividualUsername,andnottoallowanyunauthorisedpersontoissueinstructionsonyouraccount.Youwillabidebythefollowing:
• DonottellanyoneyourIndividualUsernameorletanyonefindoutyourIndividualUsername–notevenfamilyorfriends;
• DonotletanyonewatchyouenteryourIndividualUsername;
• IfIndividualUsernamesareadvisedbyletteroremail,theParticipantsuggeststhattheybememorisedassoonastheletterisreceived.Thelettershouldthenbedestroyed.Thisisthesafestpolicy;
• MakeareasonableattempttodisguisetheIndividualUsernamein
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anyrecord–thatis,scramblethedetailsinsuchawaythatotherswillnotbeabletodecode.
TheParticipantisnotliabletoreimburseyouifanunauthorisedtransactionoccursonyouraccountandyouoranyotheruserhavenotmadeareasonableattempttodisguiseanIndividualUsernameortopreventunauthorisedaccesstotheIndividualUsernamerecord.Forexample,theParticipantwillnotconsiderthatareasonableattempthasbeenmadetodisguiseanIndividualUsernameifyouoranyuseronly:
• RecordedtheIndividualUsernameinreverseorder;
• RecordedtheIndividualUsernameasaphonenumberwherenootherphonenumbersarerecorded;
• RecordedtheIndividualUsernameasanumber,prefixedbyatelephoneareacode;
• RecordedtheIndividualUsernameasaseriesofnumbersorwordswithanyofthemearmarked,circledorinsomewayhighlightedtoindicatetheIndividualUsername;
• RecordedtheIndividualUsernamedisguisedasadate(e.g.9/6/63)wherenootherdatesarerecorded;
• RecordedtheIndividualUsernameinaneasilyunderstoodcode(e.g.A=1,B=2etc);
• Self-selectedanIndividualUsernamewhichisanobviouswordornumberoronethatcanbefoundinapurseorwalletorcaneasilybeguessedbysomeoneelse(suchasadateofbirth,middlename,familymember’snameordriver’slicencenumber).
4.1 YOURREPRESENTATIONSANDWARRANTIES
4.2 YouwarrantthatallinformationprovidedbyYouonYourapplicationtoopenasharetradingaccountwiththeParticipantorsuchotherinformationprovidedbyYoufromtimetotime,isaccurateandcomplete,andthattheParticipantmayrelyontheinformationprovidedbyYou.YouwillnotifytheParticipantinwritingwithinfive(5)businessdaysofanychangeintheinformationprovidedbyYou.TheParticipantshallupdatesuchinformationontheParticipant’srecordsassoonasreasonablypossible.
4.3 Youacknowledgethat:
(a)TheParticipantprovidesanexecution,clearingandsettlementserviceonlyanddoesnotgiveanyadviceorrecommendationinrelationtoYourdealings;
(b) TheParticipantdoesnotactonadiscretionarybasisonYourbehalf;
(c) YourelyonYourownjudgement,assessmentorevaluationinviewofYourfinancialsituation,investmentobjectivesandparticularneedsbeforeplacinganyorderwiththeParticipanttobuyorsellanyfinancialproductorgivinganyotherinstruction.
4.3AIfYouareatrusteeoranagent,Youareboundbythesetermsandconditionsasatrusteeoranagent,andpersonally.IfYouareacorporation,thedirectorsarealsoboundbythesetermsandconditions.
4.4 YouwarrantthatYouhavethepowerandtheauthoritytoagreetothesetermsandconditions,andtocarryoutYourobligationsunderthem.IfYouareacorporation,YouwarrantthatYouholdavalidACN,ABNorARBN.
4.5 YouwarrantthatYouareandatalltimeswillbeinapositiontomeetallthecommitmentsandobligationsarisingfromYourdealingswiththeParticipant.
5.0 INSTRUCTIONS
5.1 Wewillonlyactwithintheparametersofyourinstructions.
5.2 TheParticipantreservesatalltimestherighttodeclinetoactonYourbehalforacceptYourinstructionswithoutgivinganyreasonorexplanationorpriornotice,forexample:
(a) unlessYouhavedepositedinadvancewiththeParticipantsufficientclearedfundsinAustraliancurrencytocoverthefullvalueandcostsofany“Buy”ordersandwhensuchfundsarethroughaforeignfinancialinstitution,bywayoftelegraphictransferonly;
(b) wheretheoriginalinstructionismorethan255calendardaysold;or
(c) Forwarrantsanddayonlyorders,onandfromthefollowingbusinessdayfromthedaytheorderorinstructionwasplaced;or
(d) wherethesecurityorotherinvestmentmediumhasbeensubjecttoatradinghaltandYouhavenotreconfirmedYourinstructionafterthehalthasbeenlifted;or
(e) whereYourinstructionsarebelievedbytheParticipanttobeunclear,ambiguousorincomplete;or
(f) whereintheopinionoftheParticipant,Yourinstructionsbreachormaybreachanylaworstatutoryorotherregulatoryrequirements,includingwithoutlimitationanyrulesorregulationsoftheASX;or
(g) wherethebasisofthequotationforthesecurityhaschangedandtheorderhasnotbereconfirmed;or
(h) wheretheASXhaspurgedtheorderfromitstradingsystem;or
(i) wheretheParticipantbelievesthetransactionwouldresultinnochangeofbeneficialownership;or
(j) wheretheParticipantbelievesthetransactionwouldhavetheeffect,orislikelytohavetheeffect,ofcreatingafalseormisleadingappearanceofactivetradinginanysecuritiesorwithrespecttothemarketfor,orthepriceof,anysecurities.
5.2ASellordersmaynotbeacceptedif:
(a) thereareinsufficientunitsavailableforsettlementinyourParticipantSponsoredHoldingssponsoredbyus;or
(b) thereareinsufficientunitsavailableforsettlementinanIssuer-sponsoredholdingquotedbyYou;or
(c) aninvalidShareholderReferenceNumber(SRN)forIssuer-sponsoredstockissupplied;or
(d) morethanonevalidSRNforIssuer-sponsoredstockissupplied;or
(e) ifstockisParticipantSponsoredbyabrokerotherthanus.
5.3 YouauthorisetheParticipanttoacceptinstructionsonYourbehalffromYourauthorisedrepresentatives)andYouconfirmthatYourauthorisedrepresentativehasthepowertodothefollowinginYournameandonYourbehalffromtimetotime:
(a) togiveinstructionstotheParticipantrelatingtoYourAccount;
(b) toacquire,buy,dealwithanddisposeofanyfinancialproduct;
(c) topayorreceivepaymentforanyfinancialproducttransactionsandrelatedexpensesandtogivegoodreceiptanddischargeforthefinancialproduct,proceedsandothermonies;
(d) toexecuteallnecessaryorpropercontractsandotherdocumentsforthecustody,dealingandtransferoffinancialproductandrelatedmatters;and
(e) toexerciseallrightsandprivilegesandperformalldutiesandobligationswhichmaynoworinfutureapplytoYouasaholderoffinancialproduct.
5.4 YouagreetoratifyandconfirmallactionscarriedoutbytheParticipantontheinstructionsofYourauthorisedrepresentative(s).
5.5 WhenYouaremorethanoneperson,theParticipantmayacceptinstructionsfromoneormoreofYouonbehalfofallofYou.
5.6 Youareresponsibleforfraudulent,illegalorunauthoriseddealingsonYourAccountwhichareattributabletoYourconduct,andYoureleaseanddischargeusfromliabilityinthisregardandwillindemnifytheParticipantfromallloss,costsandexpensesarisingfromsuchdealings.
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5.7 TheParticipanthastherighttorequestwrittenconfirmationofinstructionsbeforeactingonanyinstructionsfromYouorYourauthorisedrepresentative(s).
5.8 TheParticipantmayassumetheauthenticityofanyinstructionsgivenorpurportedlygivenorally,inwritingorbyelectronicmeans(includinganyelectronicinstructionswhichincludealloranypartofYourIndividualUsername)byYouorYourauthorisedrepresentative(s),orthatanypersonclaimingtobeYourauthorisedrepresentativeisinfactthatperson.TheParticipantisnotobligedtoenquireintoanyofthemattersmentionedinthisconditionandYouauthorisetheParticipanttoactuponsuchinstructionsbelievedbytheParticipanttobeauthentic.
5.9 TheParticipantwilluseitsbestendeavourstoexecuteYourinstructionsorordersacceptedbytheParticipant,buttheParticipantwillnotguaranteethatYourinstructionswillbewhollyorpartiallyexecutedorwillbeexecutedbyacertaintime.
5.9ATheParticipantwillnotberesponsibleforanylossorliabilityincurredbyyouwheretheParticipantdoesnotreceiveyourinstructionsorwhereanydealingorproposeddealingisinterrupted,unabletobecompletedorunabletotakeplaceduetothefailureofanytelephone,computer,otherelectronicortechnologicalserviceprovidedbyusorthirdparties.
5.9BTheParticipantwillnotberesponsibleforanylossorliabilityincurredbyyouwheretheParticipantisunabletoreceiveoractonyourinstructionsduetocircumstancesbeyondourreasonablecontrole.g.riot,civildisturbance.
5.9CIfYoupurchaseonmarketaholdingofrightsforasecuritythatistradedseparatelytothesecurity,YouacknowledgethatwemayautomaticallyexercisethoserightsonYourbehalfunlessyoutellusnottoexercisethem.
5.9DIfyoupurchaserights,theConfirmationwesendyouwillrequestpaymentofthecostoftherightspurchasedtogetherwiththeapplicationmoney.Ifyoudon’tintendtoexerciseyourrights,youmusttellusbeforesettlementday.Ifyouelecttonotexerciseyourrightsandhavepaidustheapplicationmoney,youmusttellusatleastfivebusinessdayspriortoexpiryandwe’llcredityouraccountwiththeexerciseamount.Ifyoufailtoadviseus,wewillproceedtoexerciseyourrightsandyouwillbeissuedwiththerelevantshares.Wecanonlyexerciseyourrightswhereyouhaveprovideduswithsufficientclearedfunds.
5.10YouacknowledgethatYourordersmaybepurgedfromthemarketsubjecttotherules,procedures,customs,usagesandpracticesoftheASXwithoutnoticetoYou.YoufurtheracknowledgethattheParticipantisnotobligedtonotifyYouofanyorderswhicharepurgedfromthemarket,althoughtheParticipantwillmakeallreasonableendeavourstonotifyYouofsuch.TheParticipantisnotliableifYoudonotreceivenotificationinthisregard.AnorderthatiscancelledorpurgedbytheASXwillnotbereinstatedbytheParticipantwithoutinstructionsfromYou.
5.11YouauthoriseandappointtheParticipant,eachofitsdirectorsandemployeesasYourattorneytoenterintoanycontractoragreementwithanotherpartyonYourbehalfuponreceivingYourinstructions(suchinstructionsmaybegivenbyYouelectronicallyandacceptedbytheParticipantinaccordancewithclause5.9)todoso.YouacknowledgethatallliabilityforsuchcontractsisYoursalone.YouwillindemnifytheParticipantagainstallloss,expenseoranyotherliabilityinrelationtosuchcontractsoragreements.
5.12YouauthorisetheParticipanttorecordanytelephonecommunicationsbetweenYourself,YourauthorisedrepresentativesandtheParticipant,withorwithoutanaudibletone-warningdevice.YouacknowledgethatanyrecordingistheParticipant’spropertyandthattheParticipantreservestherighttochargeyouacostrecoveryfeeforaccesstoarecording.Youshallrecordallrelevantdetailsofanyconversationyouhavewithus,includingthenameoftheoperatorandthedateandtimeofthecall,andyouacknowledgethattheParticipantwillaskyouforthisinformationwhenyouseekaccesstoarecording.
5.13Incaseofdispute,theParticipant’srecordsofelectronicortelephonecommunicationsorfacsimiletransmissionshallbeconclusiveevidenceofthedetailsofthecommunicationsbyemail,Internet,telephoneorfacsimile(asthecasemaybe)betweenYouandtheParticipant.
5.14IfYourequesttheParticipanttoprovideyouwithemailorSMSmessagealerts(“Alerts”),YouagreetobeboundbytheAlertsSubscriptionAgreement&TermsandConditionsofUse,whichsupplementtheseShareTradingAccountTermsandConditions.
5.15YouacknowledgethatyouraccesstoAlertsdependsonfactorsoutsideourcontrol,includinganydisruption,failureormalfunctioninanypartoftheinternetorSMSnetwork.Accessmayalsobelimitedorunavailableduringperiodsofpeakdemand,systemsinterference,damageormaintenance,orforotherreasons.Weacceptnoliabilityifanalertmessageisnotsentornotreceivedforanyreason.
5.16ThefeesandchargesapplicabletoYourAccountcanbelocatedintheParticipant’sFinancialServicesGuideorontheTradingSite.
5.17Whereyouhaveamarginlendingaccount,youacknowledgethatyouareliablefor:
(i) allsettlementobligationsirrespectiveofwhetheryourmarginlenderisabletodeliversufficientsecuritiesorfundstosatisfyyourobligations;
(ii) anyover-soldpositionsonyouraccount;
(iii) paymentofmoniesowingonyouraccountirrespectiveofwhetherthemarginlenderwilladvanceyouthosemonies.
5.18YouacknowledgethattheParticipantisnotresponsibleformissedmarketopportunitiesduringthetimeittakestheParticipanttofollowitsinternalprocedures,forexample,openingaccounts,transferringParticipantSponsoredHoldings,confirmingyouridentity.
5.19
(a) YouacknowledgethattheParticipantwillmakeallreasonableattemptstoenteryourinstructionstobuyorsellsecuritiesasquicklyaspossible.However,shoulddelaysbeexperienced:
(i) inconnectionwiththenumberofParticipantsorpersonsattemptingtoparticipateinthemarketatapointintime;
(ii) duetoverificationorauthorisationprocesses;or,
(iii) duetodelaysresultingfromcallwaitingtimeoradherencetointernalprocedures;theParticipantwillnotbeliableforanyclaimsforlostopportunity.
(b) YouacknowledgethattheParticipantwillmakeallreasonableattemptstoeffectanyinstructionstocanceloramendordersasquicklyaspossible.However,shouldanorderbefilledpriortoacancellationoramendmentinstructionbeingeffectedyouwillbeobligedtoacceptthetransaction(s)ontheoriginalterms.Whilstallreasonableattemptswillbemadetoinformyouwhentheorderisfilledpriortoanamendmentorcancellationinstructionbeingeffected,theParticipantisnotobligedtodoso.
(c) Youacknowledgeandacceptthattheremaybedelaysinprocessingbetweenthetimeanamendmentorcancellationinstructionisdealtwithbyusandthetimetheamendmentorcancellationiseffectedonmarket.Intheeventanorderisfilledbetweenthetimeithasbeen‘approved’bytheParticipantandthetimetheParticipanteffectstheinstructiononmarket,youwillbeobligedtoacceptthetransactionontheoriginalterms.
(d) Ifyouareuncertainastowhetheryourorderhasbeenreceivedyouwillmakeallreasonableattemptstoverifywhethertheorderhasbeenreceived,approvedandeffectedpriortotakinganyfurtheraction.Youagreetoissuespecificcancellationoramendmentinstructionswithrespecttoanexistingorderandnottoattempttoeffectsuchchangesbyplacingasecondorduplicateorder.Youwillbesolelyresponsibleandliableforanyduplicateinstructionthatyouplace.
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(e) YouacknowledgethattheParticipantisnotliabletoyouforanylossyouincurunderasharepurchaseplanduetoasellerorbuyerortheirbrokerfailingtocompleteatransactioninaccordancewiththerulesorproceduresofthemarket,theclearingfacilityorthesettlementfacility.
(f) Ifyoupurchaseonmarketaholdingofrightsforasecuritythatistradedseparatelytothesecurity,youacknowledgethattheParticipantautomaticallyexercisesthoserightsonyourbehalfunlessyoutelltheParticipantnottoexercisethem.
(g) Inthecourseofprocessingasellorderforasecurity,theParticipantmayremoveyourholdingofthesecurityfromtheregisterbeforetheduedateforsettlementundertheASXOperatingRules.
(h) If,initsreasonableopinion,theParticipantbelievesthereisadisputebetweenyouandtheParticipantaboutanorderorinstructionyouhavegiventheParticipant,forexample,thenumberofsharesyouhaveaskedtheParticipanttobuy,orthebidpriceforshares,theParticipantmaytake,withoutpriornoticetoyou,anyactionwhichinitsreasonableopiniontheParticipantconsidersnecessarytocloseanyopenpositionthesubjectofthedispute,forexample,bysellingshares.
(i) Youacknowledgethat,duetomarketconditions,theParticipantmaycompleteyourorderbymultiplemarkettransactionsandyouauthorisetheParticipanttoaccumulatethosetransactionsonasingleconfirmationandspecifythevolumeweightedaveragepriceforthosemarkettransactions.
(j) Youacknowledgethatfromtimetotime,theParticipantmaycompleteyourorder,andtheordersofotherclientsofyouradviser,usingaccumulatedmarkettransactionsandyouauthorisetheParticipanttoallocatethosetransactionsaccordinglyattheaverageexecutionprice.Thisaveragepricewillbereflectedonyourindividualconfirmation.
5.20YouacknowledgeandagreethatweareentitledtocancelorreverseadealingororderwithoutfurtherreferencetoyouwheretheASXhasrecommendedorrequiredcancellationorreversalformarketintegrityreasons,orwherethemarketwasoperatingunderanerror,orwherethecancellationorreversalispermittedundertheASXOperatingRules.
5.21Youacknowledgeandagreethatallordersmustbesubmittedeither‘AtMarket’or‘AtLimit’.AtMarket’orderscannotbeacceptedoutsideofmarkethoursorwhentradinginaparticularstockishalted/suspended.
5.22Youacknowledgeandagreethata“market”orderisanorderplacedateitherthebestbidpricewhensellingsharesoratthebestaskpricewhenbuyingshares.Ifthereisinsufficientvolumetofillyourorderquantity,thentheremainingportionwillremainonthemarketatthispriceasalimitorder.Whenplacingmarketorders,youneedtobeawarethatsomestockscanbevolatile,andthecurrentquotethatyouseemaybedifferentfromthepriceatwhichyourordertransacts.
5.23Youacknowledgeandagreethatan‘AtLimit’orderwillnotbeaccepted,withoutanyadvicetoyou,ifweconsiderthelimitpricetobetoofarawayfromtheprevailingmarketpriceofthatstock.
5.24YouacknowledgeandagreethatallOrderscanbeamendedorcancelledprovidedtheorderhasnotalreadybeenexecuted.
6.0 STRAIgHTTHROUgHPROCESSINg
6.1 TheParticipanthasprovidedYouwithaccesstoSTP.
6.2 YouacknowledgethefollowinginrelationtoYouraccesstoSTP:
(a) anyordersplacedbyYouusingSTPwillneedtomeetfilterssetbytheParticipantfromtimetotime.TheParticipantmayamenditsfiltersfromtimetotimewithoutnotification.TheParticipantisnotrequiredtoinformYouwhatthefiltersare;
(b) thatitispossibleforanorderplacedbyYoutobematchedwithanotherorderalsoplacedbytheParticipant.This‘crossing’
maybewithanorderbyanotherclientoftheParticipant.TheParticipantmayasaresultreceivebrokeragefrombothclients;
(c) thatSTPisonlyavailableon‘limit’ordersforsecuritieswithanormalstatus(i.e.notsuspendedorinatradinghalt)andisoperatedbetweenthehoursof9.30amand4.00p.m.Sydneytime;
(d) AtMarketorderscanonlybeacceptedduringmarkethours(10.00–4.00)Sydneytime,insecuritieswithanormalstatus(i.e.notsuspendedorinatradinghalt).STPisavailableonmarketorders;
(e) IfYourorderdoesnotpassthefilters,thenitwillbereferredtoaDesignatedTradingRepresentative(“DTR”)forevaluation.InsomecasestheDTRhastheauthoritynottoplacetheorderonmarketuntilYoubecomecontactabletoconfirmtheorder.TheParticipantisnotliableforanydelaysinplacingYourorderasaresultorforYourordernotbeingplacedatall;andthattheASX’stradingplatformoperatingscheduledefinesthevariousphasesandatwhattimetheyhappen.YouareawarethatanimportantpointistheOpeningphase,inwhichthemarketopeningtimesarestaggereddependingonthestartingletteroftheASXcode.ASX’stradingplatformwillnotallowinputofordersduringtheseopeningtimes.Thescheduleintheappendixapproximatelydescribesthesevariousphases.
6.3 YouacknowledgethattheParticipant,astradingParticipant,mustensuretheconductofanorderlymarketandpreventmanipulativetrading,includinginsidertrading,falsetrading,marketriggingandsuspecttransactions.ThereforeinutilisingSTPYoushouldrealisethatanordermaybescrutinisedbyboththefiltersandaDTR.
6.4 YouacknowledgethattheParticipantisrequiredtopreventabid,offerordealingifanyclientintendstocreate,ortakingintoaccountthecircumstancesoftheorder,theParticipantreasonablysuspectsthattheclienthasplacedtheorderwiththeintentionofcreatingafalseormisleadingappearanceofactivetradinginanyfinancialproductorwithrespecttothemarketfor,orthepriceofanyfinancialproduct,ormarketriggingormanipulationorsuspecttransactions.YouacknowledgeandagreethattheParticipantreservestherightdeclinetoactonYourbehalforacceptYourinstructionsorprocessanyordersplacedthroughSTPwhereintheopinionoftheParticipant,Yourinstructionsbreachormaybreachanylaworstatutoryorotherregulatoryrequirements(includingwithoutlimitationanyrulesorregulationsoftheASX.)
6.5 TheParticipantreservestherighttoterminateYouraccesstoSTPatanytimeintheParticipant’sabsolutediscretion,if,forexample,YourAccounthashadfrequentfailedsettlements,orwesuspectthat:
(a) YourAccounthasbeenaccessedfraudulently;
(b) YouareaProscribedPerson;
(c) Youhaveattemptedmarketmanipulation;or
(d) Youhavecommittedfraudulent,illegalorunauthoriseddealingsonYourAccount.
Withoutlimitingourrightsunderparagraphs(a)to(d),wemayterminateorsuspendYouraccesstotheTradingSiteandtheServicesforreasonsotherthantheonesmentionedabove.
7.0 PAYMENTSANDINDEMNITY
7.1 YouwillpaytheParticipantbrokeragefeesandchargesasspecifiedbytheParticipantfromtimetotime;andreimbursetheParticipantforanyfees,taxes,consumptionorvalue-addedtax,stampdutyoranyotherchargesleviedinrelationtoeachtransaction.TheParticipantreservestherighttovarysuchfeesandcharges,andmethodofcharging,atanytimeandwithoutpriornotice.
7.1AIfyousubscribetoaserviceforwhichwechargefeesinarrears,wewillchargethefeeonamonthlybasis.Wewilldebityouraccountattheendofeachcalendarmonth.Thefirstmonthwillbetheperiodfromthedatewhenyousubscribetotheendofthecalendarmonth.
7.2 Ifthegoodsandservicestax(“GST”)hasapplicationtoanysupplymadebytheParticipantunderorinconnectionwithYourAccountwiththeParticipantunderthesetermsandconditions,theParticipant
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willinadditiontoanyamountorconsiderationpayableunderthesetermsandconditions,recoverfromYouanadditionalamountonaccountoftheapplicableGST.
7.3 YouagreethattheParticipantmayreceivecommissionsfromtheissuersoffinancialproductsorfromanyotherpartyarisingfromYouruseofYourAccountandtheParticipantisnotobligedtorebatethesecommissionstoYou.
7.4 YouagreethattheParticipantmaypaycommissionsonbrokeragereceivedbytheParticipantfromYoubasedontradesenteredintobyYou.
7.5 YouacknowledgethatYourordermaybematchedwithanorderorordersofanotherclientoftheParticipant.IfthisoccursYouagreethattheParticipantmayreceivebrokeragefrombothpartiestothetrade.
7.6 YouirrevocablyauthorisetheParticipanttoappropriateanypayments,remittancesorreceiptsfromYouorforYourAccountinsuchmannerandorderofpriorityastheParticipantdeemsfitagainstanyamountsowingbyYoutotheParticipantorarelatedentityoftheParticipant.
7.7 YouwillindemnifytheParticipant,itsdirectorsandemployeesagainstallactions,claims,demandsandproceedings,expensesandlossesincurred,(includinglegalcostsonasolicitorandclientbasis)reasonablyincurred,directlyorindirectly,bytheParticipantasaresultofundertakingorexecutingYourinstructionsorordersoranyfailurebyYoutocomplywiththisAgreement,theCorporationsAct,theASICMarketIntegrityRules,theASXOperatingRules,theASXSettlementOperatingRules,andthecustoms,procedures,usagesorpracticesoftheASX,orYouruseofYourAccountwiththeParticipant.
7.8 Anyexpenses,costsordisbursementsreasonablyincurredbytheParticipantinrecoveringanyoutstandingmoniesfromYouincludingdebtcollectionagencyfeesandsolicitorscostsshallbepaidbyYou.YouindemnifytheParticipantinrespectofallsuchexpenses,costsordisbursements.
7.9 TheParticipantisentitledtoretainanyfinancialproductoramountsduetoYoupendingpaymentofanyamountsduetotheParticipantandtosetoffamountsduetotheParticipantagainstamountsthattheParticipantholdforYouinanyaccount.IfYoufailtomakepaymenttotheParticipant,theParticipanthasagenerallienoverandpowertosellorrealiseanyfinancialproducttheParticipantholdsforYou.
7.10IftheParticipantapprovesaTradingLimittobeappliedtoYouorYourAccount,YoumustensureYouhavesufficientclearedfundsinYourCashAccountatthetimeofthetransactiontosettleyourobligationstotheParticipantorarelatedpartyoftheParticipant.
8.0 FAILURETOSETTLE
8.1 IfyouhaveauthorisedtheParticipanttodirectdebitYourCashAccount,thetransferofclearedfundswilloccuronthedayfollowingthetransaction.Ifthedirectdebitfailsforanyreason,YouwillberequiredtoremitclearedfundsviaBPAY®.
8.2 IfYouhavenotauthorisedtheParticipanttodirectdebitYourCashAccount,Youwillberequiredtohaveclearedfundsavailablepriortoatransactionbeingallowedtoproceed.
8.3 IfYoufailtosettlebysettlementdateforanytransactionarisingfromYourinstructions,YouagreetopaytotheParticipantondemandinterestonanyoutstandingamountarisingfromthefailureatrateequalto5%abovetheCommonwealthBankofAustraliaOverdraftIndexratecalculateddailyfromtheduedatetothedateofpayment.Youalsoagreetopayanyfailfeesarisingfromthefailuretosettle.
8.4 Ifbythesettlementdate,YouhavenotmadefullpaymentsforYourpurchasesorgooddeliveryforYoursales,andademandforpaymenthasbeenmade,thenYouauthorisetheParticipanttosellorbuybackonYourbehalfatYourriskandexpense(includingwithoutlimitation,brokerage,stampdutyandothercosts),anyfinancialproductthatisthesubjectoftheConfirmationoranyfinancialproductoutstandinginYourAccountoranyofYourfinancialproductsintheParticipant’scontrolorpossession(exceptineach
case,sharesintheCommonwealthBankofAustralia)andapplytheproceedsinreductionofYourliabilitytotheParticipantandYouirrevocablyauthorisetheParticipant,eachofitsdirectorsandemployeesasYourattorneytogiveinstructionsaccordingly.
8.5 TheParticipantreservestherighttoreduceorremoveanyTradingLimitifsuchTradingLimitappliestoYouorYourAccount.
8.6 IfYoufailtosettleanytransactionsbythesettlementdate,anyTradingLimitthatmayapplytoYouorYourAccountmaybedowngradedorremovedatthediscretionoftheParticipant.
9.0 OTHERAUTHORITIES&ACKNOWLEDgEMENTS
9.1 YouauthorisetheParticipanttoprovideinformationaboutYoutoanyofitsrelatedentitiesandtheirrespectiveofficersandemployees(foraccountingandotherpurposes,includingmarketingfurtherservicestoyou).IfyouhavebeenreferredtotheParticipantbyathirdparty(“Referrer”)fortheParticipanttoprovideYouwithtrading,settlement,clearingorotherservices,YoualsoauthorisetheParticipanttosupplyinformationaboutYou(thattheParticipantmaycollectorholdfromtimetotime)totheReferrer.Theinformationmayinclude,butisnotlimitedto:detailsofordersplacedandtradesenteredintobyYou,othertransactionsconductedbyYouthroughorinconnectionwiththeTradingSite,andotherinformationconcerningYouthattheParticipantmayreceivefromYouruseoftheTradingSiteoranyassociatedwebsite,butexcludingsecuritydetails.YouauthorisetheReferrertouseYourinformationtocalculateanycommissionsduetoitfromtheParticipantbasedontradesandservicesenteredintobyYoubytheParticipant,andforusebytheReferrerinmarketingfurtherservicestoYou.
9.2 YouauthorisetheParticipanttoprovideinformationaboutYouandYourtransactionstoASX,ASXSettlement,ASICandotherregulatorsasrequiredbyanyofthemfromtimetotime.
9.3 YouauthorisetheParticipanttoproviderelevantinformationaboutYoutoacredit-reportingagencyinrelationtotheestablishmentofYourAccountandinrelationtotherecoveryofanyoverduepayments.
9.4 YouauthorisetheParticipanttodiscloseyourTaxFileNumber(s)orexemptiondetails(ifavailableintheParticipant’srecords)toitsrelatedbodiescorporate,ASXSettlementPtyLtd,trustees,sponsorsofyourshareholdingsandtheiragentsandotherissuersofsecuritiesforpurposesrelatingtothesecuritiesinthetradingaccount.YouacknowledgethatifyoudonotprovideaTaxFileNumberorexemptiondetailstotheParticipant,taxmaybedeductedfromyourdividendsanddistributionsatthehighestmarginaltaxrate(plusMedicareLevy).
9.5 Youconfirmeither:
(a) Youhavereadyaccesstotheinternet,andconsenttoreceivingtheParticipant’sFinancialServicesGuidethroughtheTradingSiteorbyemail;or
(b) YouhaveotherwisereceivedthisFinancialServicesGuideinpersonorbypost,faxoremail.
Ineithercase,YoufurtheracknowledgethatYouhavereadandunderstoodtheParticipant’sFinancialServicesGuidepriortoreceivinganyfinancialservicefromtheParticipantandpriortomakinganydecisiontoinvest.
YoumaycontactusatanytimetorequestthatacopyofourFinancialServicesGuidebesenttoyoubypost,faxoremail.
9.6 YouacknowledgethatYouhavereadandunderstoodtheParticipant’sprivacypolicycontainedontheTradingSite.ByconductingatradethroughtheTradingSiteYouagreeandacknowledgethattheParticipantmaydealwithYourinformationinaccordancewiththeParticipant’sprivacypolicy(asamendedfromtimetotime).
9.7 YouacknowledgethatYouhavereadtheParticipant’s“FairGoPolicy”inclause14.0oftheTermsandConditionsofOnlineAccess.YouagreethatYouwillaccessandusetheTradingSiteinaccordancewith
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theFairGoPolicy(asamendedfromtimetotime).Inparticular,byaccessingtheTradingSiteYouagreeandacknowledgethat:
(a) allfreeaccesstotheTradingSiteandotherservicesissubjecttoreasonableusage;and
(b) ifatanytimetheParticipantinitsdiscretionconsidersacustomer’susagetobeunreasonable,theParticipantmaysuspendorrefuseaccesstoitsservices,includingtheTradingSite.
9.8 IfyouwishtodealinWarrants,Youagreethat:
(a) YouhavereceivedandreadacopyoftheexplanatorybookletissuedbytheAustralianSecuritiesExchangeLimited(theASX)inrespectofWarrants;
(b) YouareawarethataWarranthasalimitedlifeandcannotbetradedafteritsexpirydate;
(c) YouareawarethatWarrantsdonothavestandardisedTermsofIssueandacknowledgethatitisYourresponsibilitytobecomeawareoftheTermsofIssueofanyWarrantinwhichYouchoosetoinvest;
(d) YouareawarethatWarrantsmaybesubjecttoadjustmentsaftertheirinitialissue.YouacknowledgethatitisYourresponsibilitytobecomeawareofanyadjustmentswhichmayhavebeenmadetoanyWarrantinwhichYouchoosetoinvest;
(e) YouareawarethatadmissiontoTradingStatusofaWarrantdoesnotimplythattheASXortheSecuritiesExchangesGuaranteeCorporationsLimitedgivesanyguaranteeorwarrantyastotheviabilityoftheWarrant-IssuerorGuarantor;YouacknowledgethatfailureoftheWarrant-IssuerortheGuarantor(ifapplicable)tofulfiltheirobligationsdoesnotgiverisetoclaimagainstASX,handlingMarketParticipantsortheSecuritiesExchangesGuaranteeCorporationsLimited;
(f) YouacknowledgethataWarrantAgreementFormisrequiredtobecompletedandsignedasaprerequisitetotradinginWarrants.
10.0LIABILITY
10.1YouacknowledgethatthesystemsusedinthemarketorattheParticipantarevulnerabletodisruptionsorfailure,whichmayresultinYourordernotbeingexecutedordelayedaccordingtoYourinstructions.YoureleasetheParticipantfromanyloss,damageorliabilitythatYoumaysufferorincurbyreasonoforinconnectionwithanysuchdisruptionorfailureprovidedthattheParticipanthasactedingoodfaithandwithoutnegligence.
10.2Tothemaximumextentpermittedbylaw,YouacknowledgethattheParticipantwillnotbeliabletoYouoranyoneelseforanylossordamage,whetherdirectorindirect,special,incidentalorconsequentialoreconomic(includinglossofprofits),whetherornottheParticipantkneworcouldhaveknownofthepossibilityofsuchdamage,wherethatdamagearisesfrom:
(a) delay,interruption,omission,failure,errororfaultintheexecutionofYourinstructions;
(b) delayintheexecutionofYourinstructionsarisingfromareviewofYourinstructionsbytheParticipant;
(c) anyerror,omissions,non-receiptorinvalidityinYourinstructions;
(d) anyfault,error,defectorengineeringoftheTradingSiteortheParticipant’scomputersystems,oranydelay,fault,failureinorlossofaccesstotheTradingSite;and
(e) anycausebeyondthereasonablecontroloftheParticipant,includingbutnotlimitedto,failureofelectronicormechanicalequipmentorcommunicationlines,unauthorisedaccessorlabourproblems.
10.3Nothinginsub-clauses10.1,10.2and10.4shallexcludeanyimpliedconditionorwarrantytheexclusionofwhichwouldcontraveneanystatuteorcauseanypartofthesetermsandconditionstobevoidorinvalid.
10.4Tothemaximumextentthatliabilitycanbelimited,YouagreethattheParticipant’sliabilityislimitedtothecostofresupplyingitsservices.
11.0VARIATIONANDTERMINATION
11.1YoumayterminateYourAccountbygivingnotlessthanfive(5)businessdayswrittennoticetotheParticipant,subjecttoalloutstandingobligationsbeingdulydischarged.
11.2TheParticipantmayterminateYourAccountatanytimeandwithoutpriornotice,subjecttoalloutstandingobligationsbeingfullydischarged.
11.3TheParticipantreservestherighttovarythesetermsandconditionsandtheservicestowhichtheyrelateto:
(a) add,changeorremoveanyconcessionsorbenefits;
(b) adoptorimplementanylegalrequirement,decision,recommendation,regulatoryguidanceorstandardofanycourt,tribunal,orombudsmanserviceregulator;
(c) accommodatechangesintheneedsorrequirementsofourclients,suchasnewproductfeaturesorservices;
(d) correcterrors,inconsistencies,inadvertentomissions,inaccuraciesorambiguities;
(e) bringusintolinewithourcompetitors,industryormarketpracticeorbestpracticeinAustraliaoroverseas;or
(f) reflectchangesintechnologyorourprocessesincludingourcomputersystems.
Eachofthechangesinparagraphs(a)to(f)isaseparaterightandthisclauseistobereadasifsuchchangewasaseparatelyexpressedright.
Withoutlimitingourrightsunderparagraphs(a)to(f),wemayfromtimetotimevaryanyofthetermsandconditionsforreasonsotherthantheonesmentionedabove(e.g.duetounforeseenevents).
AnysuchvariationshallapplytoalldealingsbetweenYouandtheParticipantonandfromthedayonwhichthevariationtakeseffect.
IftheParticipantvariestheseterms,conditionsand/orservices,theParticipantwillgivenotlessthanseven(7)daysnoticetoyouatthepostalorelectronicaddresslastnotifiedtotheParticipantbyyou,orattheParticipant’swebsite.
AlsotheParticipantmayuseourIVRfacilitytonotifyyouofamendment(s),andprovideinformationaboutwhereyoucanaccessfulldetailsoftheamendment(s).
11.4However,theParticipantdoesnotneedtogiveYouadvancenoticewhereanyvariationofthesetermsandconditionsisrequiredtocomplywithaprescribedrequirementorisnecessitatedbyanimmediateneedtorestoreormaintainthesecurityofthesystemorindividualaccounts.
12.0NOTICE
12.1Anynoticegiven,ordemandmadebytheParticipant,maybemadebyfacsimile,bypostorbyemailtothelastnotifiedaddress,facsimilenumberoremailaddressasthecasemaybe.Suchnoticeordemandshallbedeemedtohavebeenreceived:
(a) ifgivenbypostwillbedeemedtohavebeenreceivedonthethirdBusinessDayfollowingposting;
(b) ifgivenbyfacsimile,willbedeemedtohavebeenreceiveduponproductionofatransmissionreportbythemachinefromwhichthefacsimilewassentwhichindicatesthatthefacsimilewassentinitsentiretytothefacsimilenumberoftherecipient;
(c) whensentbyemail,onehouraftertheParticipantsendsit;and
(d) ifgiventousbyemailwillbedeemedtohavebeenreceiveduponbeingopenedbyus.
12.2TheParticipantatitsdiscretionmaysendanyConfirmationinrelationtoanytransactiononYourbehalfby:
(i) pre-paidposttoYourlastnotifiedaddress.SuchConfirmationshallbedeemedtohavebeenreceivedonthebusinessdayfollowingposting;or
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(ii) email,facsimiletransmissionorelectronicdatainterchange(includingovertheWorldWideWeb)toYourlastnotifiedemailaddressorfacsimilenumberwhensuchaddressornumberisprovidedbyYou.YouacknowledgethatYouconsenttoreceivingYourConfirmationsbysuchelectroniccommunication.YoufurtheracknowledgethattheconditionssetoutinPart3.4oftheASICMarketIntegrityRulesapplytosuchConfirmations.AnyConfirmationsenttoYoubysuchelectroniccommunicationshallbedeemedtobereceivedonthedayitwassent.
13.0DISPUTERESOLUTION
13.1AnydisputesbetweenYouandtheParticipantwillbereferredtotheFinancialOmbudsmanService(“FOS”)ifthedisputeiswithinthejurisdictionofFOS.IfthedisputeisnotwithinthejurisdictionofFOS,orcannotbesettledthroughitsprocesses,thepartieswillappointamediatorandattendmediationinordertoresolvethedispute.
14.0APPLICABLELAW
14.1ThisAgreementissubjecttothelawsoftheStateofNewSouthWales,andthepartiesagreetosubmittothenon-exclusivejurisdictionofthecourtsofNewSouthWales,buttheParticipantmaycommenceproceedingsinanothercompetentjurisdiction.
15.0gUARANTEE&INDEMNITY
15.1TheGuarantorunconditionallyandirrevocablyguaranteesthepaymenttotheParticipantoftheGuaranteedMoney.
15.2IfYoudonotpaytheGuaranteedMoneyontimeandinaccordancewiththesetermsandconditions,theGuarantoragreestopaytheGuaranteedMoneytotheParticipantondemandfromtheParticipant.
15.3TheParticipantneednotmakeademanduponYoutopaytheGuaranteedMoneyortakeactiontoenforceitsrightsagainstYoubeforetheParticipantclaimsfromtheGuarantor.
15.4TheGuarantormakesthesamedeclarations,agreements,authorisationsandundertakings,andentersintothesameagreementwiththeParticipantasiftheGuarantorwasnamedinthesetermsandconditions.
15.5TheguaranteeinthisclauseisacontinuingobligationandextendstoalloftheGuaranteedMoney.
15.6TheGuarantorunconditionallyandirrevocablyindemnifiestheParticipantandmustpaytheParticipantondemandforanylossorcoststheParticipantsuffersorincursif:
(a) Youdonot,arenotobligedto,orareunableto,paytheParticipanttheGuaranteedMoneyinaccordancewiththesetermsandconditions;or
(b) theGuarantorisnotobligedtopaytheParticipantanamountundertheguaranteeinclause15.1;or
(c) theParticipantisobliged,ortheParticipantagrees,topayanamounttoatrusteeinbankruptcy,liquidatororcontroller(asdefinedintheCorporationsAct)(ortoabankruptpersonorinsolventcompany)inconnectionwithapaymentbytheGuarantororYou.
15.7TheGuarantoracknowledgesthatitisresponsibleformakingitselfawareofYourfinancialposition.
15.8Theindemnityinthisclause15isacontinuingobligation,independentoftheGuarantor’sotherobligationsunderthesetermsandconditions.Itcontinuesevenafterthoseobligationsend.ItisnotnecessaryfortheParticipanttoincurexpensesormakepaymentbeforeenforcingarightofindemnityconferredbythisguaranteeandindemnity.
15.9RightsgiventotheParticipantunderthisguaranteeandindemnityandtheGuarantor’sliabilityunderitarenotaffectedbyanyactoromissionbytheParticipantoranythingelsethatmightotherwiseaffectthemunderlaw.
15.10Underlaw,atrusteeinbankruptcy,aliquidatororacontroller(asdefinedintheCorporationsAct)mayasktheParticipanttorefundapaymenttheParticipanthavereceivedinconnectionwiththesetermsandconditionsorGuaranteedMoney.TotheextentthattheParticipantisobliged,oragrees,tomakearefund,theParticipantmaytreatthepaymentasifithadnotbeenmadetotheParticipant.TheParticipantisthenentitledtoexercisetheirrightsagainsttheGuarantorunderthisguaranteeandindemnityasifthepaymenthadnotbeenmade.ThisappliesdespiteanythinginthisguaranteeandindemnityorthefactthattheGuarantormayhaveendedit.
15.11TheGuarantormustpayallamountsdueundertheguaranteeandindemnityinfullwithoutsettingoffamountstheGuarantorbelievestheParticipantowestoYouortotheGuarantorandwithoutcounterclaimingamountsfromtheParticipant.
15.12AllpaymentstheGuarantormakesmustalsobefreeofanywithholdingordeductionfortaxes,unlessthelawpreventsthis.
15.13TheParticipantmaysetoffanymoneyitowestheGuarantoragainstanymoneytheGuarantorowestheParticipantundertheguaranteeandindemnityinthesetermsandconditions.
16.0COMPLAINTS
(a) Ifyouarenotsatisfiedwiththeserviceoradviceyoureceivefromus,youareentitledtocomplain.Wehaveestablishedprocedurestoensurethatallenquiriesandcomplaintsareproperlyconsideredanddealtwith.
Tosaveyourselfvaluabletime,gatherallthefactsanddocumentsaboutthecomplaint,thinkaboutthequestionsyouwantansweredanddecidewhatyouwantustodo.
(b) YoucancontactusatthetelephoneorfacsimilenumbersprovidedontheTradingSite,oralternativelywritetousat:
ComplaintsOfficerLockedBag3005
AUSTRALIASQUARENSW1215
(c) YoucanobtainacopyofourComplaintsHandlingPolicybycontactingusasdetailedabove.Aresponsewillbepreparedtoensureallmattersyouraiseareinvestigatedandrespondedtofully.
(d) Unlessthereareexceptionalcircumstances,wewillcompleteourinvestigationwithin45daysofreceiptofyourcomplaint.Ifweareunabletoresolveacomplaintwithin45days,wewill:
(i) informyouofthereasonsforthedelay;
(ii) provideyouwithmonthlyupdatesonprogresswiththedispute;and
(iii) specifyadatewhenadecisioncanreasonablybeexpected,unlesswearewaitingforaresponsefromyouwhichwehavetoldyouwerequire.
(e) Ifyouarenotsatisfiedwithourresponseandwishtoproceedfurther,youmayreferthemattertoanindependentcomplainthandlingbody.
TheParticipantisamemberoftheFinancialOmbudsmanService(”FOS”),abodyrecognisedbyASIC.
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(f) Forfurtherinformation,pleasecontactFOSat:
GPOBox3MelbourneVIC3001
Telephone
1300780808
Facsimile
(03)96136399
Internetwww.fos.org.au
17.0SEVERANCE
17.1Ifanypartofanyofthesetermsandconditionsisfoundtobevoidorunenforceableforunfairnessoranyotherreason(forexample,ifacourtorothertribunalorauthoritydeclaresitso),theremainingpartsofthesetermsandconditionswillcontinuetoapplyasifthevoidorunenforceableparthadneverexisted.
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