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​5. Capacity in which FinClear acts

 

5. Capacity in which FinClear acts

 

The capacity in which FinClear acts depends on the service to be provided as follows:

 

     a) Clearing services for transactions in securities and interests in managed investment schemes executed on a Relevant Exchange

 

FinClear acts as principal in relation to the clearing and settlement of transactions in securities and interests in managed investment schemes executed on a Relevant Exchange on your behalf.  However, there may be certain activities which FinClear will perform as agent for another person (such as the despatch by FinClear of confirmations to clients as agent for the Broker that executed the transaction).

 

In clearing the transaction, FinClear acts as agent for the client for whom the transaction was executed. However, FinClear will owe the settlement obligations in respect of that transaction to ASX Clear as principal.

 

     b) Execution and clearing services for transactions in securities on international markets

 

When FinClear enters into a contract with you to arrange for the execution, clearing and settlement of international securities transactions on a foreign market by an International Securities Trader for you, it does so as principal on its own behalf, and not as someone's agent.  

 

When FinClear arranges for the provision of international securities trading services to you in accordance with this contract, FinClear acts as agent for you.

 

In order to provide these services to you, FinClear (as principal), has entered into agreements with an International Securities Trader, and will owe obligations in relation to any transactions directly to the International Securities Trader.  (It is then your contract with FinClear which enables FinClear to ultimately call upon you to satisfy these obligations).

 

     c) Settlement and nominee services

 

FinClear acts as your agent in relation to the settlement of transactions in securities and interests in managed investment schemes which the Broker has arranged for another Trading Participant to execute on a Relevant Exchange on your behalf.  

 

FinClear  acts as agent for FinClear Nominees when arranging for it to provide nominee services to clients.  FinClear Nominees acts as nominee or trustee for the client in providing the service.

 

     d) Sponsorship services

 

FinClear acts as principal in providing sponsorship services to clients.

 

     e) Nominee and custody services

 

FinClear acts as your agent when arranging for FinClear Nominees and/or another entity to provide nominee and other custody services to you.  FinClear Nominees as agent of FinClear, or the other entity, will act as nominee or trustee for you in providing the service.  

 

     f) Other services

 

FinClear acts as agent for the client in providing settlement services for the client in respect of transactions executed by the client or on behalf of the client by another person.

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