Your Privacy

Central to Euro Corporate Securities Pty Ltd’s (‘EC Securities’) success is our commitment to our current and potential customers. We honour our obligation to respect and protect the privacy of the personal information of individuals with whom we deal.

The Information We Collect

The types of personal information that EC Securities collects will depend on the nature of your dealings with us. Whenever it is reasonable and practicable to do so, we only collect information about you, directly from you. We only collect personal information about you which is reasonably necessary to:

• Set up, manage and administer financial products and financial services;

• Assess your financial product and service needs;

• Determine your requirements and provide the appropriate financial product or service to meet your needs;

• Provide financial product advice and financial services;

• Provide margin lending services;

• Perform securities and derivatives transactions; and

• Identify clients; and

• Assist us in improving our website.

We may also use personal information to send you research reports and information on related services we provide, which may be of benefit to you. If we do not collect this information from you we will not be able to provide you with our products and services. We generally hold personal information relating to:

• the products and services we provide or have provided to you.

• your name, date of birth, bank account details, shareholding details,

• investment experience and objectives, risk profile

• your financial interests and sometimes your financial position.

• your contact details.

• your settlement details

How We Collect That Information

EC Securities may collect personal information in the following ways:

• When you complete an application form for a financial product or service, or a related form required for administering or managing the product or service we are providing.
• By telephone, email or facsimile.
• When you meet with one of our Advisers.
• In correspondence.
• Completed questionnaires.
• When you provide a change of details eg. address or banking details.
• Our web sites use “Session” cookies which are short-lived, used only during a browsing session and expire when the individual quits their browser. Cookies are pieces of information used for tracking site usage and user navigation.

EC Securities will only collect personal information that is necessary for us to properly provide our services to you. In most cases we will collect information directly from you. Sometimes personal information may be collected about you from other sources. Examples of where we may receive personal information from another source and why this would happen are:

• From share registries;
• From other organisations providing outsourced functions on our behalf or on behalf of whom we provide outsourced functions; and
• From credit reporting agencies if necessary to provide products or services.

Where it is practical to do so, we will seek a signed authorisation from you to allow us to obtain information from third party organisations.

How that Information is Used

EC Securities will use the personal information we collect to provide you with the required product or service and to enhance the financial service relationship we have with you. To enable us to do this we may share your personal information with a company with whom EC Securities has a commercial arrangement which provides services to EC Securities’ customers. Customer information may also be used for providing a service requested by you, planning, product development and research purposes. We only use and disclose personal information about you for the purpose for which it was disclosed to us or related purposes which would reasonably be expected, without your permission. For example, we may from time to time use your personal information to inform you of other products and services which we expect may be of interest to you. However, we do respect your right to ask us not to do this. We may need to disclose your personal information to a third party for a number of reasons, they may include:

• Mail service providers for the mailing of information.
• Organisations with whom EC Securities has a contractual arrangement to provide investment advising and related services. Customer information will be collected by EC Securities on behalf of the company and disclosed to the company as authorised by the customer.
• Credit reporting agencies when seeking credit reports in connection with the establishment of certain financial services and the collection of any overdue payments.
• Share registries and other organisations for trading and investment purposes.

We may from time to time be required to provide information to a regulatory authority eg. Australian Securities & Investments Commission or some other Commonwealth government agency eg. the Australian Taxation Office or to a court in response to a subpoena.

Keeping that Information Secure

We store your personal information in different ways, these include both paper and electronic. We use security procedures and the latest technology to protect the information we hold. Access to and use of personal information within EC Securities is limited to prevent misuse or unlawful disclosure of the information. If other organisations provide support services, we require them to appropriately safeguard the privacy of the information provided to them.

Cookies

A cookie is a small data file that contains information about your visit to a web site. "Session" cookies exist only for the duration you are connected to our website. These cookies are necessary to verify your identity during your visit. Once you exit the web site, the session cookie is removed. We also use "persistent cookies" to track your visits within our site for the purpose of convenience when browsing our web site. EC Securities uses persistent cookies to store information of which you are aware and have agreed to (such as which postings you have read on the forum.) Most browsers are initially set up to accept cookies. If you are concerned about receiving cookies you can reset your web browser program to refuse all cookies or to warn you before accepting cookies. If you have set your browser to warn you before accepting cookies, you will receive the warning message with each cookie. EC Securities cannot guarantee or accept responsibility for the privacy practices or the content of web sites to which we provide links.

Traffic Monitoring

As well as collecting information such as contact and address details, our servers will also record traffic statistics such as the number of visitors to our site, the date and the time of the visits, the numbers pages viewed, etc. These details are primarily used for optimising our site and its performance The information collected may include your IP address, date of access, what you were accessing, information from your web browser and how our servers responded to your requests. We do not log any passwords on our website. We may also record telephone conversations for the purposes of staff training, compliance monitoring and ensuring orders that have been taken from customers are passed correctly to the issuer of that product.

Recorded Phone Lines

In order to ensure EC Securities services are efficient and upheld with the highest integrity, EC Securities records and may monitor its incoming and outgoing land lines. If you have a dispute over an order with one of our advisers, you may request a copy of the conversation from the Complaints Manager, please see our Financial Services Guide for details on how to lodge a complaint.

Accuracy of Records

We take all reasonable steps to ensure that all information we hold is as accurate as is possible. You are able to contact us at any time and ask for its correction if you feel the information we have about you is inaccurate or incomplete.

Links

From time to time EC Securities may provide access to external websites through links provided on our website. Be aware when you access one of these websites, we are not responsible for the privacy practices of that site. We suggest that you review the privacy policies of each site you visit.

Access to Information

If you would like to access the personal information that we hold about you simply contact our Privacy Officer on (08) 9227 8011.