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PRIVACY & SECURITY The Shawstock.com.au ("the Shaw Website") website is published by Shaw Stockbroking Limited (A.B.N. 24 003 221 583) ("Shaw"), participant of ASX Group and holder of Australian Financial Services Licence No 236048, in good faith based on the facts known to it at the time of preparation and does not purport to contain all relevant information in respect of the financial products to which it relates. Any projections are estimates only and may not be realised in the future. Copyright & Reproduction Shaw is either the owner or licensed user of the copyright of the material on the Shaw Website. You may not reproduce, adapt, link, frame, broadcast, distribute or in any way transmit the material on this website without the written consent of Shaw, other than to the extent necessary to view the material or as permitted by law. Statement of Privacy Policy Shaw Stockbroking Limited (“Shaw”) is committed to protecting your privacy and the confidentiality of your personal information. Shaw is subject to the Privacy Amendment (Private Sector) Amendment Act 2001 (the “Privacy Act”) including the 10 National Privacy Principles. Collection of personal information Shaw collects personal information that we believe is necessary to deliver our services or products, or otherwise for our business functions or activities. Most of this information we are required to obtain as a result of applicable legislation. For instance, we are obligated to confirm your identity for the purposes of the Anti-Money Laundering and Counter Terrorism Financing Act. In addition, since one of the services Shaw provides is personal advice, Shaw is required to collect important ‘know your client’ information, which assists Shaw in tailoring its services to you. The types of personal information we collect generally include your name, date of birth, address, telephone number, email address, financial information, other contact or identification details and, in some cases, information necessary to make or receive payments to or from you or necessary to effect transactions in financial products on your behalf. There may be occasions where we receive or need to source personal information about you from third parties such as:  Credit reporting (for instance, when we obtain a credit report);
Banks (for example, opinions about your creditworthiness);
Publicly available sources of information (e.g. financial product registries);
Your representative or agent; or
Government agencies.
In certain limited situations, Shaw may collect from you sensitive information. Sensitive information includes race, political or religious beliefs, sexual preferences, criminal convictions, membership of professional or trade associations or unions and health information. Shaw generally only collects sensitive information if it is required by laws or rules. Personal information about third parties If at any time you supply us with personal information about another person, you should ensure that you are authorised to do so and you must agree to inform that person who we are, that we will use and disclose that personal information and that they may gain access to it should we hold that information. How do we collect personal information? Personal information about you will usually be collected by your Adviser, during face to face interviews and meetings, during telephone discussions, during negotiation of service arrangements or requirements with us or by means of our client account opening procedures. You acknowledge that we may also collect personal information from your agent where they have introduced you to us or have arranged for Shaw to provide certain services to you.
Use and disclosure of personal information Shaw will generally only use your personal information in relation to the provision of financial products or services to you. If considered appropriate we may also use your personal information for internal communication purposes such as sending you research and notifying you of new products and services that may be suitable in meeting your financial objectives, unless you have notified us that you do not wish to receive such communications. You authorise Shaw to disclose necessary information to related companies, affiliates and any agents or contractors who provide services to us in connection with the provision of the products or services. Shaw will only enter these types of arrangements or disclose such information where it reasonably believes that the relevant party will only use your personal information for the specific purpose for which we supply it to them. Subject to what is permitted at law, the types of third parties we may disclose your personal information may include: Our agents, contractors, insurers, auditors and external advisers we engage from time to time to carry out, or advise on, our functions and activities;
Any person or organisation that introduces you to us;
Regulatory bodies, governmental agencies, law enforcement bodies and courts;
Debt collection agencies and credit reference agencies;
Underwriters, corporate advisers or issue managers where you are applying for financial products in an initial public offering or new issue;
Other financial institutions; and
Any person to the extent necessary, in our view, in order to carry out the instructions you give to us. In some cases, we may need to transfer your personal information outside Australia. If we believe that the overseas third party is not subject to, or has not agreed to comply with, privacy obligations equivalent to those which apply to us, we will seek your consent to transfer the information, except where the national privacy principles do not require us to do so. If you have given us instructions which necessarily require us to transfer your personal information outside Australia, you will be deemed to have provided such consent. Keeping information secure We use security procedures to protect the information we hold. Access to and use of personal information within Shaw is appropriately limited to prevent misuse or unlawful disclosure of the information. If other organisations provide support services, to the extent reasonable practicable, we require them to appropriately safeguard the privacy of the information provided to them. How you can access your information You can contact us to request access to your information. In normal circumstances we will give you full access to your information. However, there may be some legal or administrative reasons to deny access. If access is denied, we will provide a reason why. The obligation to provide you access only extends to information supplied to us by you, and does not extend to records created by Shaw based on your information. Visiting Shaw Stockbroking online If you visit the Shaw Website to browse, read or download information, our system will log these movements. These website logs are not personally identifiable and Shaw makes no attempt to link them with the individuals who browse the website. If you visit the Shaw Website to log into our secure areas, such as our Shaw Online client website, we use cookies which will enable us to identify you (see below). We may use this information to contact you. Your account information is password protected and we recommend you do not divulge your password to anyone. To further protect your personal information, your login time will automatically expire after a certain period. Shaw’s Website – Cookies A cookie is a small data file that contains information about your visit to a website. Your computer provides this information during your first visit to a web server. The server records this information in a text file and stores this file on your hard drive. When you visit the same website again, the server looks for the cookie and structures itself based on the information provided. Most browsers are initially set up to accept cookies. You can reset your browser to warn you before accepting cookies. You will receive the warning message with each cookie. We use cookies to help us improve our services to visitors to our website and to ensure that our website stays easy to navigate and useful. Shaw cannot guarantee or accept responsibility for the privacy practices or the content of websites to which we provide links. Identifiers Each Shaw client account is identified by a unique client account number, which you should keep confidential. We will not adopt as an account identifier information that you may have supplied to us such as Tax File Numbers and Medicare Numbers. Complaints resolution We are committed to providing our clients whose personal information we hold, a fair and reasonable system for handling privacy issues. If you have any concerns with regard to privacy, please contact our Privacy Officer as outlined below. We will seek to address any concerns that you may have through our complaints handling procedures, but if you wish to take matters further you may refer your concerns to the Office of the Australian Information Commissioner (OAIC) (website www.oaic.gov.au). Contact us Email: privacyofficer@shawstock.com.au
Mail: The Privacy Officer
Shaw Stockbroking Limited
GPO Box 3604
Sydney NSW 2001
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