• Please note that you cannot use this application form to open a Westpac Cash Investment Account, a Westpac DIY Super Working Account or a Westpac DIY Super Savings Account. If you wish to open a Westpac Cash Investment Account, please go to
www.westpac.com.au/onlineinvesting. If you wish to open a Westpac DIY Super Working Account or a Westpac DIY Super Savings Account to link to your Online Investing Account, please visit any Westpac branch. • We will activate your new trading account with 5-7 days of receiving
your signed application and supporting documentation.
• You will receive email notification from us once your Username has been established.
• Please ensure that you have made a note of your Username and Temporary Login Password so that you can access your share trading account as soon as it has been activated. You must make a reasonable attempt to disguise your Username and Temporary Login Password if you write it down – that is scramble the details in such a way that others will not be able to decode it.
PLEASE START HERE
• Please read the Participant’s Share Trading Terms and Conditions before completing this form.
• Identification:
To meet our obligations with the Anti Money Laundering/Counter-Terrorism Financing Act 2006, we must identify customers before we provide a service. Applicants (including Beneficial Owners and Additional Trustees) and Additional Authorities to Trade who are not existing Westpac customers, will need to provide original certified copies of identification documents, which must be signed by an ‘eligible person’.
• Please refer to explanatory note 2 at the end of this application form for a list of Acceptable Identification Documentation and a list of eligible persons who can certify identification documents. • Please note all fields are MANDATORY to complete within each
required section unless otherwise specified.
Please return the original application form, fax and email will not be accepted.
Address: Reply Paid 85157 Australia Square
NSW 1214
APPLICATION INSTRUCTIONS
Applicant Type Mandatory Sections to complete
Optional Sections
Instructions Company
Account Name (example): Bokum Pty Ltd
No Account Designation
1, 2*, 4, 6, 7, 9 *Except if Sole Director/Secretary
3, 8, 10, 11 as applicable
Use full company name
Who signs: At least 2 company offi cers (2 Directors, or 1 Director and 1 Company Secretary) or Sole Director/ Company Secretary. If 3 Account Operators are on this Account, all 3 must sign.
Trust - Individual as Trustee
Account Name (example): Peter John Brown & Susan Alice Brown
Account Designation: Brown Family A/C
1, 5, 6, 7, 9 2, 3, 8, 10, 11
as applicable In the account designation, the words “as trustee for” or “trust” should not be used. Use name(s) of trustee(s) or custodian(s) instead of trust name, fund name or name of minor. For Superannuation Fund, “S/F” should be used in place of “Super Fund”.
Who signs: All trustees – at least 2 company offi cers (2 Directors, or 1 Director and 1 Company Secretary) or Sole Director/Company Secretary. If 3 Account Operators are on this Account, all 3 must sign.
Trust - Company as Trustee
Account Name (example): Bokum Pty Ltd
Account Designation: Bokum Family A/C
1, 2*, 4, 5, 6, 7, 9 *Except if Sole Director/Secretary
3, 8, 10, 11 as applicable
Documentation Required
All Applicants
• Original certifi ed photocopy of identity documents for new clients – see explanatory note 2 • Copy(s) of your Issuer Sponsored Holding Statements (if applicable)
• Copy(s) of your CHESS Sponsored Holding Statements (if applicable)
Foreign Applicants
• Copy of original certifi cate of registration issued by the foreign registration body (if foreign company not registered with ASIC)
Trusts
• Original certifi ed photocopy of an up-to-date extract of the Trust Deed and a deed of amendment, if there is any. Extract should include pages which show the trust name, the trustee’s name(s) Settlor of Trust full name *where applicable) and; show the trustee’s signature(s) with witness signatures (if formal trust)
Minors
• If applying for a minor (under 18 years), please also provide an original certifi ed photocopy of the minor’s birth certifi cate Share Trading with Westpac Online Investing is a service provided through
Westpac Securities Limited ABN 39 087 924 221 AFSL 233723 (Westpac Securities) by Australian Investment Exchange Ltd (the Participant, we, us, our) ABN 71 076 515 930 AFSL 241400, a participant of the ASX Group and Chi-X Australia.
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Other names commonly known by (if applicable)
Date of Birth Gender
DD / MM / YY
Male Female
Level of trading experience
New to share trading Some experience Frequent trader (>3 trades per month)
Address Details
Residential Address (cannot be a PO Box)
Postcode Country
Postal Address Same as Residential Address
Postcode Country
Contact Details
Email Address
YOU MUST PROVIDE AN EMAIL ADDRESS
Tick your preferred contact number
Mobile
Work ( )
Home ( )
Source of Funds
Please provide only values as outlined in Explanatory note 8 Source of Wealth
Please provide only values as outlined in Explanatory note 9 Employment Status
Please provide only values as outlined in Explanatory note 7 Occupation
Information about products and services
Westpac Securities will use or disclose your personal information to contact you or send you information about other products and services offered by the Westpac Group or its preferred suppliers.
Please tick this box if you do not wish to receive marketing communications from us.
“Westpac Group” means Westpac Banking Corporation ABN 33 007 457 141 and its related bodies corporate.
Identification
Do you have an existing trading account? Yes No If yes please provide your Username
Go to section 2 If no, please nominate login details for online access (refer Explanatory Note 3) Nominate a Username (6 to 16 alphanumeric characters)
You MUST nominate a Temporary Login Password for online access Temporary Login Password (6 to 16 alphanumeric characters)
Please make a note of the Temporary Login Password you have nominated. You will be asked to change your Password upon your first login.
Do you have an existing Westpac account? Yes No If yes, please select and complete one of the following forms of identification.
Note: The name of the account or identifi cation must be in the same name as you have provided above.
Westpac BSB and Account Number BSB
Which account type would you like to apply for?
Company Trust – Individual as trustee Trust – Company as trustee
Name of Account Holder
Westpac Customer number
If no, you must provide original certifi ed copies of identifi cation documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
2. Personal Details – Director 2 or Company
Secretary/Trustee 2 (if applicable)\
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Other names commonly known by (if applicable)
Date of Birth Gender
DD / MM / YY
Male Female
Level of trading experience
New to share trading Some experience Frequent trader (>3 trades per month)
Address Details
Residential Address (cannot be a PO Box)
Postcode Country
Postal Address Same as Residential Address
Postcode Country
Contact Details
Email Address
YOU MUST PROVIDE AN EMAIL ADDRESS
Tick your preferred contact number
Mobile
Work ( )
Home ( )
Fax ( )
Source of Funds
Please provide only values as outlined in Explanatory note 8 Source of Wealth
Please provide only values as outlined in Explanatory note 9 Employment Status
Please provide only values as outlined in Explanatory note 7 Occupation
Information about products and services
Westpac Securities will use or disclose your personal information to contact you or send you information about other products and services offered by the Westpac Group or its preferred suppliers.
Please tick this box if you do not wish to receive marketing communications from us.
“Westpac Group” means Westpac Banking Corporation ABN 33 007 457 141 and its related bodies corporate.
Identification
Do you have an existing trading account? Yes No If yes please provide your Username
Go to section 3 If no, please nominate login details for online access (refer Explanatory Note 3) Nominate a Username (6 to 16 alphanumeric characters)
You MUST nominate a Temporary Login Password for online access Temporary Login Password (6 to 16 alphanumeric characters)
Please make a note of the Temporary Login Password you have nominated. You will be asked to change your Password upon your first login.
Do you have an existing Westpac account? Yes No If yes, please select and complete one of the following forms of identification.
Note: The name of the account or identifi cation must be in the same name as you have provided above.
Westpac BSB and Account Number BSB
Account number
Name of Account Holder
Westpac Customer number
If no, you must provide original certifi ed copies of identifi cation documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
3. Personal Details – Director 3 or Company
Secretary/Trustee 3 (if applicable)
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Other names commonly known by (if applicable)
Date of Birth Gender
DD / MM / YY
Male Female
Level of trading experience
New to share trading Some experience Frequent trader (>3 trades per month)
Address Details
Residential Address (cannot be a PO Box)
Postcode
Postal Address Same as Residential Address
Postcode Country
Contact Details
Email Address
YOU MUST PROVIDE AN EMAIL ADDRESS
Tick your preferred contact number
Mobile
Work ( )
Home ( )
Fax ( )
Source of Funds
Please provide only values as outlined in Explanatory note 8 Source of Wealth
Please provide only values as outlined in Explanatory note 9 Employment Status
Please provide only values as outlined in Explanatory note 7 Occupation
Information about products and services
Westpac Securities will use or disclose your personal information to contact you or send you information about other products and services offered by the Westpac Group or its preferred suppliers.
Please tick this box if you do not wish to receive marketing communications from us.
“Westpac Group” means Westpac Banking Corporation ABN 33 007 457 141 and its related bodies corporate.
Identification
Do you have an existing trading account? Yes No If yes please provide your Username
Go to section 4 If no, please nominate login details for online access (refer Explanatory Note 3)
Address Details
Registered Business Address (cannot be a PO Box)
Postcode Country
Postal Address Same as Registered Business Address
Postcode Country
Principal Place of Business Address (cannot be a PO Box) Same as Registered Business Address
Postcode Country
Company Contact Details
Email Address
Work ( )
Fax ( )
Is the company operating as a charity?
Yes No If yes, what is the purpose of the charity?
What is the source of the Company’s funds to be used to service this share trading account? (Only provide values as outlined in explanatory note 8)
What is the source of the Company’s Wealth? (Only provide values as outlined in explanatory note 9)
Nominate a Username (6 to 16 alphanumeric characters)
You MUST nominate a Temporary Login Password for online access Temporary Login Password (6 to 16 alphanumeric characters)
Please make a note of the Temporary Login Password you have nominated. You will be asked to change your Password upon your first login.
Do you have an existing Westpac account? Yes No If yes, please select and complete one of the following forms of identification.
Note: The name of the account or identifi cation must be in the same name as you have provided above.
Westpac BSB and Account Number BSB
Account number
Name of Account Holder
Westpac Customer number
If no, you must provide original certifi ed copies of identifi cation documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
4. Company Details
Company Name
Australian Company Number (ACN)
Registered Business Name
Industry Type (Only provide values as outlined inExplanatory Note 4)
Australian Business Number (ABN) – optional (refer Explanatory Note 1)
Company Tax File Number or Exemption Code – optional
(refer Explanatory Note 1)
Has the company been established in Australia? Yes No If no, please complete the next four questions
Country of formation/incorporation/registration
What is the Company’s business activity?
What is the purpose of seeking a share trading account in Australia?
Is this foreign company registered with ASIC?
Yes Please provide Australian Registered Body Number (ARBN)
No Please provide the unique identification number issued to the company on its registration/incorporation with the foreign registration body and attach a certified copy of original certificate of registration issued by the foreign registration body
Company Type Public Proprietary/Private
Additional Director Details
Please list the full Names of all Additional Directors that are not listed as Applicant 1, 2 or 3. If there are more than 3 Additional Directors, please photocopy this page and attach the completed page to the end of your Application.
Additional Director 1
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Additional Director 2
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Additional Director 3
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
Beneficial Owner Details
If Proprietary/Private, please provide details of ALL individuals who are beneficial owners through one or more (direct/indirect) shareholdings of 25% or more of the Company’s issued capital.
Individual 1
Same as Applicant 1 or complete the following: Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
Westpac Customer Number
If no, you must provide original certified copies of identification documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
Individual 2
Same as Applicant 2 or complete the following: Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
Westpac Customer Number
If no, you must provide original certified copies of identification documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
Individual 3
Same as Applicant 3 or complete the following: Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
Westpac Customer Number
If no, you must provide original certified copies of identification documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
Individual 4
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
Westpac Customer Number
If no, you must provide original certified copies of identification documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
5. Trust Details
Trust Type
Charity Settlement Family Superannuation Minor Other, please specify below
For formal trusts, please provide original certified photocopy of an up-to-date extract of the Trust Deed not listed as Applicant 1, 2 or 3.
Extract should include the cover page which shows the settlor’s name, trustee’s name(s) and the trustee’s signature(s) with witness signatures and a deed of amendment, if there is any.
Account Designation (refer Explanatory Note 5)
A/C
Please provide an abbreviated version of the full name of the trust (up to 23 characters, including spaces).
The words or reference to “trust”, “as trustee for”, “trustee”, “ATF”, “TF” should not be used in Account Designation as it will not be accepted by CHESS.
The following details are not applicable for Minor trust type – please go to Trustee Details
Full Trust Name
Australia Business Number (ABN) - refer Explanatory Note 1
–
–
–
If charity, please specify objective of the charity
What is the source of the Trust’s funds to be used to service this share trading account? (Only provide values as outlined in explanatory note 8)
What is the source of the Trust’s Wealth? (Only provide values as outlined in explanatory note 9)
Full name of Settlor of the Trust
Has the trust been established in Australia?
Yes No If no, please complete the following three questions
What country was the trust established in?
What is the objective of the trust?
What is the purpose of seeking a share trading account?
Trust Tax File Number or Exemption Code (refer Explanatory Note 1)
–
–
Trustee Details
If there are more than 3 trustees, please provide names and addresses for those additional trustees.
If there are more than 3 additional trustees please photocopy this page, complete and attach to your application.
Additional Trustee 1
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
Westpac Customer Number
If no, you must provide original certified copies of identification documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
Additional Trustee 2
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
Westpac Customer Number
If no, you must provide original certified copies of identification documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
Additional Trustee 3
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
Westpac Customer Number
If no, you must provide original certified copies of identification documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
Beneficiary Details
Please provide the full name of each beneficiary OR type of membership class (e.g. unit holder, family member). If there are more than 3 beneficiaries/membership classes please photocopy this page, complete and attach to your application.
Beneficiary 1
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Beneficiary 2
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Beneficiary 3
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
OR
Membership classes
6. Additional Beneficial Owners
Please provide details of all individuals who are acting in the capacity of Beneficial Owners based excluding any previously captured (shareholders and trustees) who act as Beneficial Owners through control; where control includes the capacity to make decisions on behalf of the company as a result of formal or informal agreements, arrangements or understandings (e.g. CEO or Director).
Additional Beneficial Owner 1
Same as Applicant 1 or complete the following: Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
7. Settlement Options
Nominated bank account
To settle your share trading transactions and/or any fees associated with subscriptions on your trading account please complete the Direct Debit Request details below. The bank account must be in the same entity name(s) provided in this application. Please also provide copy of bank account statement
If this bank account is a joint account where one or more parties are not applicants on this share trading account, you MUST provide identification for them and have them sign the Declaration & Signature(s) section of this form. Account Name
BSB
Account Number
Please select the type of settlement method you wish to use to BUY shares (you can only select one payment option)
Integrated Accounts
Westpac DIY Super Working Account BT Margin Lending
BT Margin Lending Account Number
BT Margin Lending Account Name
Cash Investment Account
Standard Accounts
Direct Debit from your nominated bank account BPAY®
Other Margin Lending Margin Lender (M/L)
M/L PID* (if known)
M/L Account Number
M/L Account Name
M/L Contact Person (if known) If no, you must provide original certified copies of identification
documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
Additional Beneficial Owner 2
Same as Applicant 2 or complete the following: Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Date of Birth
DD / MM / YY
Residential Address (cannot be a PO Box)
Postcode Country
If there are any additional Beneficial Owners please photocopy this section and provide details.
Identification
Do you have an existing trading account?
Yes No If yes please provide your Username (Go to section 7)
Do you have an existing Westpac account?
Yes No If yes, please select and complete one of the following forms of identification. Note: The name of the account or identification must be in the same name as you have provided above.
Westpac BSB and Account Number BSB BSB
Account number
Name of Account Holder
8. CHESS Sponsorship Request
Your trading account will be CHESS sponsored by the Participant unless you have provided the details of a Margin Lending account in Section 6 of this application form.
Important: The Name and registration detail that appears on your current registered holdings MUST be the same name that appears on your Trading Account. If this requirement is not met any request to transfer holdings may be delayed or rejected.
Please tick the option(s) you are requesting for:
ISSUER to BROKER SPONSORSHIP Transfer my/our Issuer Sponsored Holdings to the Participant.
(Please attach copies of all relevant holdings Statements) Shareholder Reference Number (SRN)
ASX Code or Security Name Qty
Shareholder Reference Number (SRN)
ASX Code or Security Name Qty
Shareholder Reference Number (SRN)
ASX Code or Security Name Qty
Shareholder Reference Number (SRN)
ASX Code or Security Name Qty
I/We authorise the Participant to convert the above listed Holding(s) into my/our Share Trading Account.
BROKER to BROKER TRANSFER You may select to either transfer all or part of your existing broker holdings to the Participant. (Please attach copies of your latest CHESS holding statement)
Existing Broker Name:
PID*: HIN*: A/C Number:
New Broker Name:
Australian Investment Exchange Ltd
PID:
0 6 3 8 1
*See Explanatory note 6
a) Transfer ALL Broker Sponsored Holdings
to the Participant. Yes No
Note: We will transfer your Holder Identifi cation Number (HIN)
OR
b) Transfer ALL Broker Sponsored Holdings but NOT
my/our HIN to the Participant. Yes No
OR
c) Transfer the following existing Broker
Sponsored Holdings to the Participant. Yes No Please list stock that you would like to transfer from your Existing Broker. Attach a separate sheet if more space is required. ASX Code or Security Name Qty
NB: It may be necessary to re-lodge your standing instructions with the share registries after some transfers. These include tax fi le numbers, banking details and Dividend Reinvestment Plan or other dividend instructions.
I/We authorise the Participant to transfer the above listed holdings into my/our Share Trading Account.
For Trusts,
I/we:
a) Warrant that the trust deed/instrument authorises the opening and operation of the account(s) as contemplated by this Application, and b) Warrant that authority has been given by signature of the
trustee(s), or where the trustee is a company, by resolution passed at a legally constituted meeting of director(s) of the company for the opening and operation of the account/s in the name of and on the terms and conditions and in the manner set out in this Application.
Signature of Director 1/Trustee 1
✘
Date: DD / MM / YYSignature of Director 2/Trustee 2
✘
Date: DD / MM / YYSignature of Director 3/Trustee 3
✘
Date: DD / MM / YYINTERNAL USE ONLY
Trading A/C Number: HIN:
Date: Initials:
/ /
Please post your completed Application Form to us at:
Westpac Securities Reply Paid 85157 Australia Square NSW 1214
9. Declaration & Signature(s)
All Account Holders MUST sign this declaration – photocopied and faxed signatures are not accepted
I/We the undersigned (being the applicant(s)):
1. Declare that the information I/we provided to you in my/our application is complete and correct and acknowledge that it will form part of the contract for each product I/we are applying for;
2. Acknowledge that the name of individual persons given in this application are true and correct and that the law prohibits the use of false names, as well as the giving or use of false documents in connection with an identification procedure;
3. Consent to the collection, use, disclosure and storage of my/our personal information in accordance with the Customer Information and Privacy section of the Westpac Online Investing “House Rules” document and the Westpac privacy policy (available at westpac.com. au or by calling 132 032), each as amended from time to time.
Declaration to Terms and Conditions
1. I/We hereby acknowledge that I/we have read and understood the Financial Services Guides provided to me/us by Westpac Securities Limited and the Participant.
2. I/We have read and agree to be bound by the Participant’s Terms and Conditions of Share Trading Account.
3. I/We have read and agree to be bound by the Participant’s Terms and Conditions of Online Access.
4. I/We agree to be sponsored by the Participant under the terms of the Participant Sponsorship Agreement. I/we have read and agree to be bound by the Participant’s Terms and Conditions of Participant Sponsorship Agreement.
5. I/We authorise and request Australian Investment Exchange Ltd (APCA User ID no. 123840 – Debit and 123840 - Credit) to arrange for funds to be debited from/credited to my/our accounts as specified in this Application through the Bulk Electronic Clearing System (BECS). I/We Acknowledge that this authority is governed by and will remain in force in accordance with the Direct Debit/Credit Request Service Agreement sections of the Terms and Conditions governing each product I/we are applying for.
6. I/We agree for the Participant to remit funds to my/our choice of Nominated Bank Account upon my/our request.
7. I/We agree that my/our nominated representative(s) is/are bound by these Terms and Conditions.
8. I/We agree for the Participant to send my/our Confirmations, Trading Account information and Statements to we/us electronically. 9. I/We declare that I have the legal capacity to make these
declarations and accept the conditions. I agree and enter into the agreements referred to in points 1, 2, 3, 4, 5, 6, 7 and 8 above.
10. Additional Authority To Trade
Complete this section where you wish to authorise someone else to trade and/or conduct transactions on your behalf. The Additional Authority to Trade must complete this section.
Title
Mr Ms Mrs Miss Dr Other (specify) First Given Name
Other Given Names
Surname
Other names commonly known by (if applicable)
Date of Birth Gender
DD / MM / YY
Male Female
Level of trading experience
New to share trading Some experience Frequent trader (>3 trades per month)
Employment Status (Please provide only values as outlined in Explanatory note 7)
Occupation
Address Details
Residential Address (cannot be a PO Box)
Postcode Country
Postal Address Same as Residential Address
Postcode Country
Contact Details
Email Address
YOU MUST PROVIDE AN EMAIL ADDRESS
Tick your preferred contact number
Mobile
Work ( )
Home ( )
Fax ( )
Information about products and services
Westpac Securities will use or disclose your personal information to contact you or send you information about other products and services offered by the Westpac Group or its preferred suppliers.
Please tick this box if you do not wish to receive marketing communications from us.
“Westpac Group” means Westpac Banking Corporation ABN 33 007 457 141 and its related bodies corporate.
Identification
Do you have an existing Westpac Securities account? Yes No If yes please provide your Username
Go to section 10 If no, please nominate login details for online access (refer Explanatory Note 3) Nominate a Username (6 to 16 alphanumeric characters)
You MUST nominate a Temporary Login Password for online access Temporary Login Password (6 to 16 alphanumeric characters)
Please make a note of the Temporary Login Password you have nominated. You will be asked to change your Password upon your first login.
Do you have an existing Westpac account? Yes No If yes, please select and complete one of the following forms of identification.
Note: The name of the account or identifi cation must be in the same name as you have provided above.
Westpac BSB and Account Number BSB
Account number
Name of Account Holder
Westpac Customer number
If no, you must provide original certifi ed copies of identifi cation documents which must be signed by an ‘eligible person’ (refer Explanatory Note 2 for a full list of acceptable documents).
11. |Additional Authority To Trade Declaration &
Signature(s)
Applicant(s) declaration and signature(s)
All Applicants MUST sign this declaration – photocopied and faxed signatures are not accepted
I/We authorise the Additional Authority to Trade set out below to act on my/our behalf in connection with the account including the following: (a) To have access to, receive, and enquire about information
pertaining to an account;
(b) To acquire, buy, deal with, dispose of, or sell any financial products;
(c) To provide authorisation to make and receive payment for any financial product transactions and attendant expenses by any means whatsoever and to give goods receipts and discharges for the proceeds and sales on financial products and other monies; (d) To execute all contracts and other documents necessary or proper for the
custody, dealing, and transfer of financial products and related matters; (e) To receive, hold, arrange custody of and evidence of title to
financial products;
(f) To exercise all rights, privileges, duties and obligations now or in the future with regard to transacting in financial products that pertain to me as the holder of financial products;
All Applicants please sign below
I/We:
(a) Acknowledge that I/we are responsible for and bound by the instructions that the Authority to Trade gives the Participant, and I/we indemnify the Participant in relation to the actions of my/our authorised agent;
(b) Acknowledge that it is my/our obligation to be aware of any activity undertaken on my/our behalf by the Authority to Trade;
(c) Agree that I/we will not provide my/our personal login details to the Authority to Trade, instead relying on the Participant to issue relevant account access to the Authority to Trade;
(d) Authorise and request the Participant to accept and act upon any instructions issued by the Authority to Trade pursuant to this authority and undertake to ratify whatever the signatory lawfully does or causes to be done pursuant to this authority;
(e) Understand the appointment of an Authority to Trade remains effective until I/we revoke it by providing a notice in writing to the Participant. Signature of Director 1 or Company Secretary (on behalf of Company Account holder)/Trustee 1
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Date: DD / MM / YYSignature of Director 2/Trustee 2
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Date: DD / MM / YYSignature of Director 3/Trustee 3
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Date: DD / MM / YYAdditional Authority to Trade declaration and signature
I/We understand and acknowledge that:
(a) The name of individual persons given to the Participant are true and correct and that the law prohibits the use of false names, as well as the giving or use of a false document in connection with an identification procedure; (b) Declare that my particulars (including identification details) as shown on
this form are complete and correct;
(c) Acknowledge that the Participant collects my particulars in order to allow me to exercise this authority; and
(d) Acknowledge that I have received and agree to be bound by the Terms and Conditions governing each product nominated in this form and consent to the collection, use, disclosure and storage of my/our personal information in accordance with the Customer Information and Privacy section of the Westpac Online Investing “House Rules” document and the Westpac privacy policy (available at westpac.com. au or by calling 132 032), each as amended from time to time. Signature of Additional Authority to Trade
12. Explanatory Notes
1. AUSTRALIAN BUSINESS NUMBER (ABN), TAX FILE NUMBER (TFN) OR EXEMPTION CODE
You are not required by law to provide your TFN or ABN, however if you do not provide one, tax may be deducted from your dividends and distributions at the highest marginal tax rate (plus Medicare Levy). If you quote your TFN or ABN, you authorise the Participant to disclose it to its related bodies corporate, ASX Settlement Pty Limited, trustees, sponsors of your shareholdings and their agents and other issuers of securities for purposes relating to the securities in the trading account.
TFN and Trusts
Formal trust – established as a legal entity under a formal trust deed and has a TFN. Please quote the TFN of the formal trust.
Informal trust – no formal arrangements in place e.g. minor, and there is no requirement for you to furnish a Trust income tax return to the Australian Taxation Office.
2. IDENTIFICATION REQUIREMENTS
To meet our obligations with the Anti Money Laundering/Counter-Terrorism Financing Act 2006, we must identify customers before we provide a service. Applicants (including Beneficial Owners and individual trustees), Company Directors and Authorities to Trade who are not existing Westpac customers, will need to provide original certified copies of identification documents which must be certified by an eligible person.
Acceptable identification documentation
ONE Primary Photographic Identification Document (Table A), or if unable to ONE Primary Non-Photographic Identification Document (Table B) and ONE Secondary Identification Document (Table C)
Please note the following:
• All documents must be current unless specified otherwise. If any document is written in a language other than English, it must be accompanied by an English translation prepared by an accredited translator.
Please attach the original certified copy(ies) of the document(s) to your application. DO NOT send original documents, or copies of certified copies.
Table A – Primary Photographic Identification Documents
• Australian passport (can either be current or expired within the last 2 years but must not be cancelled, defaced or mutilated)
• Foreign passport issued by a foreign government, the United Nations or an agency of the United Nations (must not be cancelled, defaced or mutilated)
• Foreign travel document issued by a foreign government, the United Nations or an agency of the United Nations
• Australian licence/permit (can either be a driver’s licence, learner’s permit)
• Foreign driver’s licence which contains a photograph • Proof of age card issued by a State or Territory (or equivalent) • National identity card issued by a foreign government, the United
Nations or an agency of the United Nations
Table B – Primary Non-Photographic Identification Documents
• Full Australian birth certificate (or extract) issued by State/ Territory Registry of Births, Deaths and Marriages
• Full Foreign birth certificate issued by a foreign government, the United Nations or an agency of the United Nations
• Australian citizenship certificate
• Citizenship certificate issued by a foreign government • Centrelink pension card (Australian)
Table C – Secondary Identification Documents
• A financial benefits notice issued by the Commonwealth or a State/Territory within the last 12 months and includes the customer’s name and residential address (e.g. a notice from Centrelink)
• Australian Taxation Office (ATO) notice issued within the last 12 months and includes the customer’s name and residential address • Utilities notice issued by a local government or utilities provider
within the last 3 months and includes the customer’s name and residential address
• Foreign driver’s licence which does not contain a photograph • Department of Veterans’ Affairs pension concession card
(Australian)
• A current tenancy/lease agreement (must not be cancelled or expired)
• Medicare card
• Australian Marriage certificate issued by State/Territory Registry of Births, Deaths and Marriages
List of eligible persons who can certify identification documents
Each original certified photo copy(ies) must include the statement (or similar wording):
“I certify that this is a true copy of the original document.”
The certifier must include their full name, original signature (photocopied signatures are not accepted), date of certification and qualification or occupation (outlined below) which makes them eligible.
List of eligible persons who are allowed to certify identification documents:
• A person who is enrolled on the roll of the Supreme Court of a State or Territory, or the High Court of Australia, as a legal practitioner (however described)
• A judge of a court • A magistrate
• A chief executive officer of a Commonwealth court • A Justice of the Peace
• A police officer
• A public notary (for the purposes of the Statutory Declaration Regulations 1993)
• An agent of Australia Post who is in charge of an office supplying postal services to the public
• A permanent employee of Australia Post with 2 or more years of continuous service who is employed in an office supplying postal services to the public
• An Australian consular officer or an Australian diplomatic officer (within the meaning of the Consular Fees Act 1955)
• An officer with 2 or more continuous years of service with one or more financial institutions (for the purposes of the Statutory Declaration Regulations 1993)
• A finance company officer with 2 or more continuous years of service with one or more finance companies (for the purpose of the Statutory Declaration Regulations 1993)
• An officer with, or authorised representative of, a holder of an Australian financial services licence, having 2 or more continuous years of service with one or more licensees.
• A member of the Institute of Chartered Accountants in Australia, CPA Australia or the National Institute of Accountants with 2 or more years of continuous membership
• A registrar or deputy registrar of a court
• An international bank employee authorised by their institution to open accounts, where the international bank is acceptable to the Bank
3. USERNAME AND PASSWORD
If your nominated Username is already in use, we will nominate a similar alternative on your behalf.
You will receive confirmation of your Username with your Welcome Letter or Email.
Your nominated temporary password: • Must be between 6 and 16 characters long • Is not case sensitive
• Must not contain spaces
• Can contain most characters except < = > ^ { } ` • Must not contain your Username or word “password”
4. INDUSTRY TYPE
Please select one of these options: • Accommodation, Cafes and Restaurants • Agriculture, Forestry and Fishing • Communications
• Construction
• Cultural and Recreational Services • Education
• Electricity, Gas and Water Supply • Finance and Insurance
• Government Administration and Defence • Health and Community Services • Manufacturing
• Mining
• Personal and Other Services • Property and Business Services • Retail Trade
• Transport and Storage • Wholesale Trade • Other
5. ACCOUNT DESIGNATION
Account Designation is used when you wish to trade under the name of a Superannuation Fund, Family Trust, Minor or Deceased Estate.
Examples include: Brown S/F A/C, Brown Family A/C, Louise Brown A/C (minor).
6. HIN and PID
HIN (Holder Identification Number) and PID (Participant Identification) can be found on your CHESS statements. Alternatively, contact your existing Broker.
7. Employment Type
Please select one of these options: a. Retired
b. Casual c. Full Time
d. Independent Contractor
e. Other (Home Duties/Work Compensation f. Part Time
g. Dependent Contactor h. Self Employed
i. Social Security Recipient j. Student
k. Temporary l. Unemployed
8. Source of Funds
Origin and the means of transfer of the funds to service this share trading account.
Please select one of these options: a. Commission
b. Bonus
c. Business income/earnings d. Business profits
e. Investment income/earnings f. Corporate investments earnings g. Rental income
h. Loan
i. Ext investment/Capital Injection j. Insurance payment
k. Compensation payment l. Government grant m. Sale of assets n. Liquidation of assets o. Mergers & Acquisitions p. Controlled money account q. Gift/Donation
r. Tax refund
s. Additional Sources (Provide a value)
9. Source of Wealth
The origin of your financial standing or total net worth (i.e. how you have generated your wealth).
Please select one of these options: t. Business income/earnings u. Business profits
v. Investment income/earnings w. Corporate investments earnings x. Rental income
y. Insurance payment z. Compensation payment aa. Owns real estate/property bb. Sale of assets
cc. Liquidation of assets dd. Mergers & Acquisitions ee. Controlled money account ff. Gift/Donation
gg. Choose not to disclose
