Forms

Identification Documentation Requirements

Outlines the process for certifying identification documentation including acceptable documents, how to certify documents and a list of people who can certify ID.

Identity Verification Form

Use this form to add Additional Beneficial Owners, Additional Trustees, Additional Controllers and Third Party Mortgagors to your client's accounts.

Job and Industry Classifications List

Use this form for the list of eligible Job Category and Job Types for individuals and Industry Category and Industry Type for companies and trusts.

W-8BEN for Individuals

The W-8BEN form is a legal document required by Internal Revenue Service (IRS) that may allow non-US residents to claim a reduced rate of withholding tax.

W-8BEN-E for Entities

The W-8BEN form is a legal document required by Internal Revenue Service (IRS) that may allow non-US residents to claim a reduced rate of withholding tax.

W-8BEN-E for Trusts and SMSFs

The W-8BEN form is a legal document required by Internal Revenue Service (IRS) that may allow non-US residents to claim a reduced rate of withholding tax.

Account Closure Request Form

For use when requesting the closure of your Share Trading or Exchange Traded Options (ETO) account.

Additional Adviser Authority Form

Use this form to provide an additional adviser or adviser assistant with access to an existing primary adviser's account.

Additional Authority Form

Use this form to add Additional Authority to your client's accounts.

Change of Company Account Operators Form

Use this form to update the Directors/Secretaries on your client’s company account. Client signature required.

Change of Company or Trust Details Form

Use this form to update your client’s company or trust details. Client signature required.

Change of Dealer Group Form

Complete this form to move to a new Dealer Group.

Change of Personal Contact Details Form

Use this form to update your client’s personal contact details. Client signature required

Change of Personal Name Form

Use this form to change your client’s name details. Client signature required.

Change of Settlement Options, Bank Account Details and Dividend Redirection Request Form

Use this form to change your clients’ settlement method, request for your client’s dividends to be paid directly to their linked bank account, and/or to change their nominated bank account used for settlement of trades or their nominated bank account used to transfer funds to and from their cash account by Direct Debit/Credit authority.

Change of Subscription Package Form

Complete this form to change your subscription services.

Change or Removal of Adviser Form

Use this form to nominate a new adviser or remove an existing adviser.

Datafeed Requests

For datafeed requests please email us or phone 1800 252 351.

Dealer Group and Adviser Day Book Report Request Form

Use this form to subscribe to your free Adviser or Dealer Group Day Book Report email containing daily insights on completed and pending trades, upcoming settlements and other useful information to effectively manage client trading.

Dealer Group Application and Maintenance Form

Use this form to set up your Dealer Group for the first time or to change your Dealer Group information.

Estate Management Disbursement Form

Use this form to ‘disburse’ (sell or transfer) shares from a deceased estate. Depending on the accounts held within the estate, certain sections of this form will need to be completed, and supporting documentation provided.

For more information, visit Estate management.

Estate Management Notification Form

This form is for use by executors, administrators and solicitors (if applicable) to formally notify us of a customer’s death.

It is also used to formally appoint an executor/administrator/solicitor to manage the account/s of a customer, after they pass away.

For more information, visit Estate management.

Exposure Limit Trading Increase Form

Use this form to request an increase to your trading exposure limit.

Individual Tax Residency Self-Certification Form

Use this form to declare your country/ies of tax residency where it was not provided on the application form.

International Markets Change of Settlement Bank Account Details or Funding Structure

Complete this form if you wish to change your International Markets settlement/bank account or trading account’s funding structure.

International Markets Share Transfer Form

Use this form to transfer existing international securities to or from a share trading account in exactly the same name as your International Markets account.

New Adviser Form

Complete this form to setup an adviser from your dealer group to be able to offer Trading, ETO’s and Warrants to clients.

Organisation Tax Residency Self-Certification Form

Company/Trust applicants use this form to declare your country/ies of tax residency where it was not provided on the application form.

Partly Paid Security Client Agreement Form

Complete this form to buy Partly Paid Securities on your client's trading account.

Share Transfers - to accounts in a different name or another party

Transfer existing holdings from another broker or share registry (issuer) to an AUSIEX share trading account in different name, or to another party.

Share Transfers - to accounts in the same name

Transfer existing holdings from another broker or share registry (issuer) to an AUSIEX share trading account in exactly the same name.

(The fastest, easiest way to transfer issuer sponsored (SRN) stock is online. Login for link to become active).

Terms of Access

Outlines the Terms of Access for Advisers using AUSIEX.

TFN, ABN & Tax Residency Declaration

Use this form to provide your Tax File Number (TFN), Australian Business Number (ABN), Tax Identification Number (TIN), Exemption Code/s and/or Tax Residency Information to an existing trading account.

Trustee Requesting more than one Account Form

To be completed by Trustees wanting to operate multiple share trading accounts.

Application Data Handling Statement

This document outlines what information we collect for your application, how we collect, use and disclose it.

ASX Understanding Options Trading Booklet

A simple guide to understanding options trading from the ASX.

ASX Understanding Trading & Investment Warrants Booklet

A simple guide to understanding trading and investment warrants from the ASX.

Best Execution Policy

This disclosure sets out how AUSIEX meets its Best Execution obligation.

Cboe Investing in Warrants Booklet

A simple guide to understanding trading and investment warrants from Cboe.

ETO Product Disclosure Statement

Our Product Disclosure Statement for Exchange Traded Options.

Financial Services Guide

Sets out the financial services and types of financial products that we are authorised to provide under our Australian Financial Services License.

Important Information

International Markets Trading Terms and Conditions

International Markets Exchange Rules and Market Conduct Information

Privacy Policy

Share Trading Terms and Conditions

Important things you need to know about trading with us.