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Trading Terms and Conditions Effective Date: 18th March 2022 Commonwealth Securities Limited (CommSec) ABN 60 067 254 399 Australian Financial Services Licence Number: 238814 Registered Office: Ground Floor, Tower 1, 201 Sussex Street Sydney NSW 2000. CommSec Trading Terms and Conditions | 1 PART 1. Terms and CUSTOMER INFORMATION AND PRIVACY Conditions What information we collect 1. In this clause ‘you’ includes our customer and any person who holds office in an entity which is a customer. We collect information Commonwealth Securities Limited ABN 60 067 about you (such as your name, address and 254 399 AFSL 238814 (CommSec) is a wholly contact details), and information about your owned but non-guaranteed subsidiary of the interactions with us, such as activity on your Commonwealth Bank of Australia ABN 48 123 account. We may also collect publicly available 123 124 AFSL 234945. CommSec is a Market information about you. Participant of ASX Limited and Cboe Australia Pty Limited (formerly Chi-X Australia Pty Why we collect your information and Limited), a Clearing Participant of ASX Clear what we use it for Pty Limited and a Settlement Participant of 2. We collect your information because we are ASX Settlement Pty Limited. required to identify you in accordance with the Registered Office: Ground Floor Tower 1, 201 Anti-Money Laundering and Counter-Terrorism Sussex Street, Sydney NSW 2000, Australia Financing Act 2006 and in order to comply with taxation laws, such as the Taxation CommSec is a wholly owned but non-guaranteed Administration Act 1953 and the Income Tax subsidiary of Commonwealth Bank of Australia Assessment Act 1936. We also collect it to ABN 48 123 123 124 (Commonwealth Bank). administer our customer relationships and These terms and conditions (Terms and internal processes including risk management Conditions) comprise of the following Parts: and pricing, under our arrangements with government agencies, and to identify and tell Part 1 – Customer Information and Privacy you about products and services that may Part 2 – General Terms and Conditions interest you (unless you tell us not to). If you don’t want to receive marketing Part 3 – General Conditions of Trade information you can opt out on our website at Part 4 – Trading Rules commsec.com.au. Part 5 – Conditional Order Instruction 3. If you give us your electronic and telephone Part 6 – Direct Debit/Credit Request Service details, you agree we may use this to Agreement; and communicate with you electronically, by phone or Part 7 – Terms and Conditions of CHESS SMS including providing updates, reminders and Sponsorship (unless you tell us not to) marketing information. In these Terms and Conditions, references to 4. You must give us accurate and complete “you” means each account holder and owner of a information; otherwise you may be breaking holding, jointly and severally. the law and we may not be able to provide In Part 1 of these Terms and Conditions, you with the products and services that you references to “us”, “we” or “our” are references to require. If you change your personal details both CommSec and Commonwealth Bank. (e.g. address, name or email address) you must tell us straight away. In Parts 2, 3, 4, 5, 6 and 7 of these Terms and Conditions, references to “us”, “we” or “our” are references to CommSec. Please keep these Terms and Conditions for future reference. 2 | CommSec Trading Terms and Conditions Who we may exchange your information with Additional Obligations 5. We may exchange your information with other 10. We may be subject to laws or regulations in members of the Group who may use your Australia or another country that affect your information for any of the purposes we can. relationship with us (e.g. laws that address 6. We may also exchange your information with taxation). So that we may comply with our others outside the Group, for example: obligations under these laws or regulations, we may: your representatives, advisers, brokers and require you to provide information about agents, and their service providers; you or your product; our service providers and those who refer disclose any information we are required business to us; to concerning you (including sending your market operators, operators of clearing information overseas); and settlements facilities, share and other withhold an amount from a payment to registries, regulatory and government you if required to do so, and if we do, we authorities; and will not reimburse you for the amount platform providers, issuers of financial withheld; and/or products, other financial institutions, and take such other action as is reasonably other bodies (for example, if you do not required, including, for example, closing perform your obligations under a share trade). your account, or debiting your account for 7. Sometimes it may be necessary to send your any fees, charges or other costs we or you information overseas - for example, where incur in relation to domestic or foreign tax. we outsource functions overseas, send We accept payment by direct debit from information to Group members overseas, your nominated settlement account, or where we need to complete a transaction on from your margin lending facility. your behalf or where this is required by laws How to contact us and regulations in Australia or in another country. See our Group Privacy Policy for more 11. For privacy-related enquiries, please contact information. us by calling 13 15 19 as we aim to resolve your query or complaint at your first point of Our Group Privacy Policy contact with us, however if you have tried to 8. Our Group Privacy Policy is available on our resolve your complaint and are not satisfied website at commsec.com.au (follow the Privacy with the outcome, you may also contact our Policy link) and should be read in conjunction Customer Relations team directly by calling with the above. It contains further details 1800 805 605, or writing to the address in about our information collection and handling our Group Privacy Policy. practices including information about: other ways and reasons we may collect, use or exchange your information; how you may access and seek correction of the information; and how to make a complaint about a breach of your privacy rights, and our complaint handling procedures. 9. We encourage you to check our website regularly for any updates to the Policy.
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