Forms

Trading, origination and administration forms

To filter forms select from the categories below and/or enter a keyword in the search field.

Share Trading

1000 1001 Online 1035 1029 1020 1030

Account Application Forms

Please choose the form that best suits your needs.

Hints and Tips

For Trading account applications, please ensure your clients are also made aware of our Best Execution Policy.

Online application

The fastest, easiest way to apply.

Apply Online

Product Disclosure Documents

Please ensure your client also receives and reads the following documents with their application.

1023

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.

1058

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.

1063

Identity Verification Form

Use this form to add Additional Beneficial Owners, Additional Trustees, Additional Controllers and Third Party Mortgagors to your accounts.

1068

Individual Tax Residency Self-Certification Form

Use this form to declare your country/ies of tax residency where it was not provided on the application form.

1069

Organisation Tax Residency Self-Certification Form

Company/Trust applicants use this form to declare your country/ies of tax residency where it was not provided on the application form.

Exchange Traded Options (ETOs)

1041

Exchange Traded Options PDS and Application Form

In light of current market volatility, we are temporarily suspending applications for new Tier 2 Exchange Traded Options accounts and upgrades to Tier 2 as we focus our efforts on servicing our existing customers.

We apologise for any inconvenience this may cause.

Please ensure you have read and understood our Exchange Traded Options Product Disclosure Document before applying for your options trading account.

1104

Exchange Traded Options Tier 2 Trading Upgrade Form

In light of current market volatility, we are temporarily suspending applications for upgrades to Tier 2 as we focus our efforts on servicing our existing customers.

We apologise for any inconvenience this may cause.

ASX/Chi-X Warrants

1006

ASX/Chi-X Warrant Client Agreement Form

To trade warrants please read, understand and complete the ASX/Chi-X warrant clients agreement.

Administrative

1043

Terms of Access

Outlines the Terms of Access for Advisers using AUSIEX.

1072

New Adviser Form

Complete this form to setup an adviser from your dealer group to be able to offer Trading, Cash and/or Investment Loans to clients.

1073

Additional Adviser Authority Form

Use this form to provide an additional adviser or adviser assistant with access to an existing primary adviser's account.

1059

Change or Removal of Adviser Form

Use this form to nominate a new adviser or remove an existing adviser.

1070

Change of Dealer Group Form

Complete this form to move to a new Dealer Group.

1057

Dealer Services Application and Maintenance Form

1005

Change of Personal Contact Details Form

Use this form you update your client’s personal contact details. Client signature required.

1007

Change of Personal Name Form

Use this form to change your client’s name details. Client signature required.

1032

Change of Company or Trust Details Form

Use this form to update your client’s company or trust details. Client signature required.

1018

Change of Company Account Operators Form

Use this form to update the Directors/Secretaries on your client’s company account. Client signature required.

1012

Change of Settlement Options, Bank Account Details and Dividend Redirection Request Form

1064

Additional Authority Form

Use this form to add Additional Authority to your accounts.

1033 i2c

Share Transfers - to accounts in the same name

Transfer existing holdings from another broker or share registry (issuer) to an AUSIEX share trading account in exactly the same name.

(The fastest, easiest way to transfer issuer sponsored (SRN) stock is online. Login for link to become active).

1054

Share Transfers - to accounts in a different name or another party

Transfer existing holdings from another broker or share registry (issuer) to an AUSIEX share trading account in different name, or to another party.

1027

Change of Subscription Package Form

Complete this form to change your subscription services.

1046

Trustee Requesting more than one Account Form

To be completed by Trustees wanting to operate multiple share trading accounts.

Email

Datafeed Requests

For datafeed requests please email us or phone 1800 252 351.

1053

Partly Paid Security Client Agreement Form

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

1052

Dealer Group and Adviser Day Book Report Request form

Use this form to subscribe to your free Adviser or Dealer Group Day Book Report email containing daily insights on completed and pending trades, upcoming settlements and other useful information to effectively manage client trading.

1071

Account Closure Request Form

For use when requesting the closure of your Share Trading or Exchange Traded Options (ETO) account.

1065

Estate Management Notification Form

This form is for use by executors, administrators and solicitors (if applicable) to formally notify us of a customer’s death.

It is also used to formally appoint an executor/administrator/solicitor to manage the account/s of a customer, after they pass away.

For more information, visit Estate management.

1066

Estate Management Disbursement Form

Use this form to ‘disburse’ (sell or transfer) shares from a deceased estate. Depending on the accounts held within the estate, certain sections of this form will need to be completed, and supporting documentation provided.

For more information, visit Estate management.