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3. Client acknowledgment, agreement and consent 

 

3. Client acknowledgment, agreement and consent 

 

3.1 You warrant and represent that the information you have supplied in your application is accurate, complete and not misleading. You understand that we will rely on the information unless and until we receive notice of any change and you understand that you are liable for any loss arising due to your failure to advise us of any change.


3.2 You agree that you will use FinEx’s services to:


     a) place orders (via your FSP) to buy and sell financial products; and


     b) arrange (via your FSP) for applications or redemptions of financial products and FinEx’s other services and products and that FinEx’s Best Execution Policy is available on its website at finexwealth.com.au.


3.3 You agree that your FSP has been duly authorised by you to provide instructions to FinEx on your behalf and that we will continue to act on your FSP’s instructions until you advise us in writing that the previously nominated FSP is no longer authorised to act on your behalf;


3.4 You consent to being bound by the instructions given by your FSP to us.


3.5 You agree to settle and complete all transactions executed or arranged by FinEx as a consequence of your FSP’s instructions.


3.6 You agree that you are liable to FinEx for any transactions effected on your behalf by your FSP prior to FinEx‟s receipt of notice of revocation.


3.7 You agree that the mailing address/e-mail address which you state on the Application Form is administered or controlled by you, and is to be used for receipt of Confirmations and any other documents FinEx is required by law, regulation or rule to provide to you.


3.8 If you choose to provide us with your Tax File Number, you authorise us to pass it on to our Third Party Clear and registries of issuers in which you hold financial products.


3.9 You consent to:


     a) FinEx dealing directly with you “As Principal‟ (in the circumstances defined in the ASX Market Rules and Corporations Act) as the counterparty or one of the counterparties to any of your transactions;


     b) another client(s) of FinEx being the counterparty to any of your transactions; and


     c) FinEx (at its own discretion) accumulating and price-averaging a number of your transactions on the one Confirmation

 

3.10 In the case of a joint-account, you agree that FinEx and your FSP is entitled to rely on the directions (provided to FinEx via your FSP) of any or all of the joint-parties unless expressly instructed otherwise in writing.

 

3.11 In the case of an account in the name of a corporation, you agree that FinEx and your FSP is entitled to rely on the instructions (provided to FinEx via your FSP) or directions of any authorised officer, who may not be a director, unless you expressly instruct otherwise in writing.

 

3.12 You agree to ensure that all sales of ASX Market traded products on your behalf through FinEx are Long Sales (i.e. before it is sold you must own the holding other than as a consequence of borrowing the holding from a lender under a securities lending agreement).

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