ASW also complies with other applicable laws and regulations affecting your personal information, including the Corporations Act 2001 (Cth) and ASX Settlement Operating Rules.
ASW provides a range of securities registry services to securities issuers (Issuers) including registering securities transfers, handling communications from Issuers to their securityholders, the payment of distributions or dividend payments, handling securityholder inquiries on behalf of Issuers and recording changes to security holdings.
Personal information we collect
ASW collects personal information about security holders, subscribers and each of their delegates that may include:
- Names, contact and residential and mailing address details;
- Phone numbers, mobile numbers and email addresses;
- Information in identification documents (for example, passport, driver’s licence);
- Tax file numbers and other government-issued identification numbers;
- Date of birth and gender;
- Bank account details, shareholdings and details of investments;
- Personal information about your spouse and dependants; and
- IP address (when you use our website).
How personal information is collected
We may collect your personal information about you through the following sources:
- In written form i.e. shareholder forms and/or written letters, emails sent by you or your representatives (for example: your advisers, accountant, broker etc);
- Electronically i.e. by accessing our website by you or your representatives (for example: your advisers, accountant, broker etc);
The issuer i.e. from the issuer of your security holding; and any securities exchange.
We will take steps to ensure that personal information we hold is accurate, complete and up-to-date. If you think that we hold information about you that is incorrect in any way, please update that information via our website https://www.advancedshare.com.au/ or contact us.
Why ASW collects information
We collect personal information about you so that ASW can facilitate the efficient provision of the registry services. For example:
- Pay your dividends directly into a bank account provided by you;
- Send holding confirmations directly to you by the email provided by you;
- Provide important information about your security holding to your email or send important information to your mailing/registered address maintained by ASW;
- To inform you of the products and services offered by the issuers of your securities and services offered by ASW;
- To perform other registry functions such as system development, staff training, surveys and research;
- To prevent or investigate any fraud or crime (or suspected fraud or crime); and
- As required by law (for example, ATO reporting).
Disclosure of your information
Personal information is only disclosed in the course of providing our
services. For example, personal information may be accessed by, or
disclosed to, the party on whose behalf we are acting as registry, mail
houses, legal advisers, insurers, regulators and courts. In some
situations the law may require the provision of information to an
individual’s spouse or former spouse.
ASW and our outsourced partners may use other providers to help
maximise the quality and efficiency of our services and our business
operations. This means that individuals and organisations outside of
ASW and our outsource partners, such as mail houses, will sometimes
have access to personal information held by us and may use it on our
behalf. These providers are required to adhere to strict privacy
guidelines and not to keep this information or use it for any unauthorised
purposes. ASW accepts no responsibility for any breach of privacy by
We will only disclose your personal information to a third party to provide you with a service that you requested or the services offered by the issuer of securities.
Under the Corporations Act 2001 (Cth) certain information about you as security holder must be included in the public register of the entity in which you hold securities and therefore this information will be disclosed and is in the public domain.
Access & correction to information collected
Individuals will have access to their personal information collected via our website or directly from us and are able to notify us of any corrections which need to be made. However, there are exemptions as specified in the APPs where access may be denied. If your security holding is broker sponsored, you need to contact that broker to update your registered name or address.
We will only grant access by an individual to personal information where the individual has given appropriate identification verification, which may be required in writing and subject to the terms and conditions of the use of the services of ASW. We reserve the right to impose charges for providing such access to information.
Marketing and privacy
ASW may from time to time use or disclose your personal information to send you marketing material about particular products and services offered by us or our related bodies corporate. In addition, the Issuer of your security holding may choose to either send or authorise us on their behalf to send you marketing material or include such material in a corporate communication.
Marketing materials may be sent to you in various forms, including mail, SMS, facsimile and email. If you indicate a preference for a method of communication, we will endeavour to use that method whenever practical to do so.
If you would like to opt-out of receiving marketing material about ASW, any of our related bodies corporate or for any of your security holdings registered with ASW, please contact us on +618 9389 8033
Security and storage of information
Where we store your information as a part of our services or to enable us to provide the services, we have developed security measures and implemented global standard operating procedures that cover the handling and storage of your information. These procedures are in turn localised to effectively ensure Australian standards are adhered to. Internally we have developed a set of standards to ensure our policies and procedures meet or exceed industry and government legislative requirements.
In some cases you may be using services that involve digital storage of your information, whether it is in the form of cloud storage, or as a result of us carrying out scanning services. In these cases we use the following measures:
- Firewalls and access logging tools that protect against unauthorised access to your data and our network.
- Secure work environments and workflow systems that prevent unauthorised access and copying of your personal information.
- Secure server and closed network environments.
- Encryption of data.
- Virus scanning tools.
- Ongoing security reviews.
Personal information collected by ASW may be accessed by our officers, employees, agents and delegates. Personal information is stored in secure electronic databases and where applicable, on paper documents. Any information on paper documents is stored for a period of time determined by law or as agreed with the issuer of your security holding.
We take all reasonable measures to protect personal information that we hold from unauthorised access, modification or disclosure. We will, where practicable, destroy or permanently de-identify personal information that is no longer needed.
The digital landscape is constantly changing, so while these measures have been successful to date, the nature of the medium means that they cannot be relied upon to always be effective. We will keep striving to maintain the security of your digital personal information.
Visiting our website
When visiting this website, a record of your visit is logged and information is automatically recorded for statistical purposes to enable us to improve this site and our services. This information may identify you personally and ASW may track information about individuals and their visits.
Links to other websites
How you can help protect your privacy
You can help protect your privacy by:
- Contacting us immediately when you change/update your contact details, such as your mailing/postal or registered address. If your security holding is broker sponsored, you need to contact that broker to update your registered name or address;
- Keeping your Security holder Reference Number (SRN) and/or Holder Identification Number confidential; and
- Keeping your login credentials such as username and password confidential.
How to contact us about privacy
The Privacy Officer
Advanced Share Registry Ltd
110 Stirling Highway
Nedlands WA 6009
If you wish to make a complaint to ASW about our handling of your personal information, please contact our Privacy Officer in writing as set out above.
Your access to and use of this site is conditional upon your acceptance and compliance with the terms, conditions, notices and disclaimers contained on this page and elsewhere on the ASW Site ("General Conditions"). Your Access to the Site constitutes your agreement to be bound by the General Conditions. ASW reserves the right to amend the General Conditions at any time and you should periodically refer to them on this page and elsewhere on the Site.