FIIG Securities Limited (“FIIG”)
Privacy Policy and Collection Statement ("Privacy Policy")

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What sort of information does FIIG collect?

The personal information FIIG collects includes (but is not limited to) your name, address, contact details including email address, tax file number, any transactions carried out by you through FIIG and banking details.

FIIG will only request personal information that is relevant to provide you with, FIIG’s services as a licensed dealer in financial products and custodian.

FIIG collects information about you (“Information”) in the following ways:

1. FIIG collects Information about you when you or your agent perform transactions with FIIG, or with third parties when FIIG is acting in its capacity as a fixed income dealer and during the course of FIIG providing you with its services in its capacity as a licensed dealer in financial products and custodian.
2. FIIG collects Information about you when you send FIIG an email, namely, your email address and any other personal information which you disclose in your email.
3. FIIG collects Information about you when you register on FIIG’s website www.fiig.com.au. This may include registration to attend a FIIG event, download a FIIG publication or register for FIIG’s weekly e-newsletter The WIRE. If you do not wish to receive further information and marketing materials from FIIG, you can opt out at any time by selecting “unsubscribe” included in all communication received from FIIG.
4. FIIG collects Information about you when you register as a client of FIIG or communicate with FIIG either by telephone, written communications, email or on FIIG’s website www.fiig.com.au.

What happens if you do not provide the Information?

If you do not supply sufficient personal information to FIIG, FIIG may not be able to carry out your instructions to perform transactions in relation to financial products or FIIG’s other services, to ensure that the financial products and money due to you is able to be transferred to you, or to provide you with information arising out of your business relationship with FIIG.

Why does FIIG collect the Information and how is your Information used by FIIG?

FIIG collects the Information to provide you with FIIG’s services as a licensed dealer in financial products and/or custodian (“Purpose”). For example, we may use the Information you provide to us to comply with your instructions relating to transactions in financial products. FIIG also uses the Information to send you information (either by email or post) that you request, for example, contract notes, trade confirmations and “The Wire”.

FIIG will only use Information collected for the Purpose, or another purpose that is directly related to the Purpose. FIIG will not use the Information for any other purpose (not directly related to the Purpose) unless:

1. required to do so by law; or
2. prior express or implied consent is obtained by you; or
3. required to do so in order to lessen or prevent a serious threat to the life, health, safety or welfare of an individual, or to public health, safety or welfare.

If at any time you receive material that you did not request, or do not want to receive such material any more, please inform us by correcting and updating your profile as discussed below.

Who does FIIG disclose personal information to?

FIIG will not disclose the Information to third parties for any other purpose (not directly related to the Purpose) unless:

1. required to do so by law; or
2. prior express or implied consent is obtained by you; or
3. required to do so in order to lessen or prevent a serious threat to the life, health, safety or welfare of an individual, or to public health, safety or welfare.

FIIG will not sell, rent, trade or otherwise supply to third parties any personal information obtained from you, unless you provide express or implied consent.

FIIG will only disclose Information to third parties if it is relevant and necessary for the Purpose, or another purpose that is directly related to the Purpose. For example, FIIG will supply to third parties (for example financial institutions) personal information obtained from you in order to carry out transactions in financial products which you have instructed us to perform.

FIIG may develop aggregate (that is, not individual) reports which incorporate some of the Information. Such reports are for use by FIIG and our business partners and do not include any personally identifiable information.

Insofar as FIIG contracts with a service provider to assist in recording or storing all personal information, FIIG will ensure that any such service provider has the same level of privacy and confidential commitment which FIIG agrees to maintain with you as its Client.

How will FIIG keep your personal information secure?

FIIG has security measures in place designed to protect against the loss, misuse or alteration of the Information under its control.

These security measures are:

1. Access to the Information by employees of FIIG is restricted to those employees who are required to access the Information in order to carry out your instructions in relation to transactions in financial products.
2. FIIG has clauses in employee contracts requiring confidentiality of FIIG’s clients and the Information.
3. FIIG may store your personal information in hard copy form or electronically and maintains physical security, such as locks and monitored alarm systems, over our premises. FIIG also utilises secure data centers, technology, firewalls and other sophisticated security measures such as intrusion detection and prevention systems (IDS/IPS) and passwords to maintain and control the security of our computer network.
4. Any service providers which FIIG engages will be required to adopt the same type of security measures as above to ensure the privacy and confidentiality of your Information.

Correcting and updating your profile

Before using Information, FIIG will always check the Information collected is accurate. For example, FIIG will obtain personal information about you from third parties for the purpose of confirming the accuracy of Information provided by you.

If your details change or you become aware that Information concerning you is outdated or inaccurate, FIIG gives you the following options for accessing and modifying Information previously provided:

1. You may gain access to Information that FIIG has collected about you, by contacting the person named below. We will not charge you for such a request, unless we incur costs in providing the Information.
2. You may contact Client Services, by telephone (ph: (07) 3231 6666), written communications or email (clientservices@fiig.com.au) to notify FIIG of the necessary corrections or updates to the Information.

Privacy complaint

If you wish to complain about any breach of this Privacy Policy or the Australian Privacy Principles, you should contact FIIG by any of the methods detailed below. Complaints will be responded to within three (3) business days. Where we cannot respond to a complaint within three (3) business days we will notify you of the reason for the delay and provide an indication of when we expect to respond.