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1. Definitions and Interpretations

 

Part A. FinEx Terms & Conditions

1. Definitions and Interpretations

“ASIC” means Australian Securities and Investments Commission.


“ASX“ means ASX Limited ABN 98 008 624 691, and “ASX Group” means the group of companies comprising ASX and its subsidiaries.

 

“ASX Clear” means ASX Clear Pty Limited 48 001 314 503, a wholly owned subsidiary of ASX and a member of the ASX Group.

 

ASX Clear Rules means the operating rules of ASX Clear as amended from time to time.

 

“AFSL” means Australian Financial Services Licence.

 

“AML/CTF Act” means the Anti-Money Laundering and CounterTerrorism Financing Act 2006 as amended from time to time together with any rules, regulations or other instruments made or declared under the Act and words and phrases used in these Terms and Conditions shall have the same meaning as defined in that Act.

 

“Application Form” means the application form set out in Part 2 of this NAA.

 

ASX Settlement means ASX Settlement Pty Ltd ABN 49 008 504 532.

 

ASX Settlement Rules means the operating rules of ASX Settlement as amended from time to time.

 

“Business Day” means a day other than a Saturday, Sunday, New Year‟s Day, Good Friday, Easter Monday, Christmas Day, Boxing Day; and any other day which ASX notifies Market Participants is not a business day.

 

“CHESS” means the Clearing House Electronic Sub-register System.

 

“Client Application Form” means the FinEx account opening form that has been provided to you by your FSP to complete and sign.
 

A “Confirmation”(previously known as a contract note) means a record which sets out the detail of a Market transaction or transactions executed on your behalf, including the consideration or proceeds, related charges and GST, and the time (Settlement Date) by which payment or delivery of financial products sold is to be made.

 

“Controlled Trust”, being a Trust in relation to which you, a member(s) of your Immediate Family or a corporation controlled by you:is a trustee (e.g. corporate trustee of your DIY super fund); holds more than 50% of the whole beneficial interest; or controls the Trust.

 

“Controller” means: a person holding 20% of the total votes attached to voting shares of an ASX Participant (e.g. FinEx), an applicant for ASX Participant status, or a person who, together with Related Parties, holds 20% of such votes; or a person who has the power to control the Participant or applicant, whether that power is direct or indirect or is, or can be, exercised as a result of, by means of, in breach of, or by revocation of, trusts, relevant agreements and practices, or any of them, and whether or not they are enforceable, but does not include an entity, a holding company of the entity or a subsidiary of the entity, through which the entity has an interest in the Participant or applicant that is an entity listed on ASX or any other Australian stock exchange or Recognised Overseas Stock Exchange.

 

“Immediate Family” means your partner or spouse or children under 18 years old or other members of your household (i.e. living with you at your place of residence).

 

“Family Company” means a corporation controlled by you or a member(s) of your Immediate Family, or a corporation in which you are beneficially ‘entitled to more than 50% of the issued capital.

 

“FSG” means Financial Services Guide

 

“FSP” means your Financial Service Provider (e.g. your Financial Planner or Financial Adviser).

 

“Family Trust” means a Trust in which you or member(s) or your Immediate Family is the sole or majority beneficiary, or a Trust where you have the ability to remove and replace the Trustee with a person or entity nominated by you.

 

“FinClear” means FinClearPty Ltd ABN 63 607 164 714, AFSL No. 481017

 

“FinEx” means FinClear Execution Limited, ABN 56 061 751 102, AFSL No 246842,.

 

“Settlement Date” means the date and time specified for settlement of a market transaction in the Confirmation . “Service” means the client account, information services and other related products and services provides by us under agreement with your FSP.

 

“Third Party Clearer” means FinClear

 

“we”, “us” and “our” means FinEx.

 

“you” and “your” means you, the account holder, being the person or persons in whose name the account is to be established, whether corporation, trustee or natural person.

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