Share Trading Account - Applications

Before you obtain any products or services from Australian Investment Exchange Limited, you must view the most recent Financial Services Guides (FSGs) and all supplements to the FSGs. You may download the FSGs and supplements below or you may call 1300 655 626 to receive one by postal mail.

1. Share Trading and Cash Account Application Form (completed by adviser)

Set up a new client account. Please ensure clients are also made aware of our Best Execution Policy.




2. 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.

3. 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.

4. Best Execution Policy

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

5. FSG (Part A and B)

This document sets out the financial services and the types of financial products that we are authorised to provide under our Australian Financial Services Licence.

6. Share Trading Account Terms and Conditions

Contains the Terms and Conditions for share trading through this website.

7. Important Information

Contains important information about our Trading.

8. Privacy Policy

Contains information about how we collect, verify and use customer information.

9. Trading Alerts Subscription Agreement Terms & Conditions

Contains the Terms and Conditions for subscribing to trading alerts.

Share Trading Forms - Administration

10. CHESS Sponsorship and Issuer Sponsored Transfer Form

To transfer Issuer sponsored security holdings to be broker sponsored.

11. CHESS Sponsorship and Broker to Broker Transfer Form

To transfer security holdings held with another broker.

12. Off Market Transfer for Non-Market Transactions Form

To transfer shares off market please complete this form.

13. Authority to Trade Form

If you wish to give someone else authority to trade on your trading account complete this form.

14. Change of Bank Account Details Form

Complete this form to change your nominated bank account details used for settlement of trades on your trading account by Direct Debit/Credit authority.

15. Change of Address / Contact Details Form

Use this form to notify us of any changes to your contact details. Note it is your responsibility to ensure your contact details are current.

16. Change of Personal Name Form

If you have changed your name (eg due to marriage or divorce) or need to make a name correction on your trading account please complete this form and provide the required supporting documentation.

17. Change of Company / Trust Details Form

Complete this form to notify us of any changes to your company or trust address, contact details, company name, remove or add a director/secretary authorised to operate on the company account or to change your SMSF/Trust account designation. You will need to complete the Change of Address/Contact Details form to change the address of a director/secretary or trustees currently authorised to operate the account.

18. Partly Paid Security Client Agreement Form

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

ASX Warrants

Before you obtain any products or services from Australian Investment Exchange Limited, you must view the most recent Financial Services Guides (FSGs) and all supplements to the FSGs. You may download the FSGs and supplements below or you may call 1300 135 187 to receive one by postal mail.

19. FSG (Part A and B)

This document sets out the financial services and the types of financial products that we are authorised to provide under our Australian Financial Services Licence.

20. ASX Understanding Trading and Investment Warrants Booklet

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

21. ASX Warrant Client Agreement Form

To trade Warrants please read, understand and complete the ASX Warrant Client Agreement Form.

The information in this website has been prepared without taking account of your objectives, financial situation or needs. Because of this, you should consider its appropriateness, having regard to your objectives, financial situation and needs and, if necessary, seek appropriate professional advice. If a Product Disclosure Statement is available in relation to a particular financial product, you should obtain and consider that Product Disclosure Statement before making any decisions about whether to acquire the financial product.