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  • About Us
    • About Us
      With over 25 years of experience in the local market and the backing of a multinational trading technology powerhouse, we’re AUSIEX – one of Australia’s leading providers for financial institutions, intermediaries, advisers and industry participants.
      • Who We Are
        With an unwavering focus on delivering quality outcomes for financial institutions and intermediaries, we aspire to be Australia’s leading wholesale broker.
      • Our Team
        With decades of industry experience, our dedicated and passionate team of over 250 people are what sets our business apart.
      • Working With Us
        Interested in joining our diverse team? Take a closer look at our values and see what makes us tick.
      • Who We Work With
        We work with a wide range of clients including thousands of advisers, brokers, and many large institutions.
  • News & Insights
    • News & Insights
      Keep your finger on the pulse with Australian market updates, insights and reports, upcoming IPO listings and important news from AUSIEX.
      • Market News
        Daily market and economic updates, investment insights and reports on the Australian market.
      • IPO News
        Review current and recent Initial Public Offerings and Capital Raisings.
      • Site News
        Product news, system updates and important information related to AUSIEX website and services.
      • AXIS
        Latest industry insights on the market, investments, and trading to inspire, inform and educate.
      • Media Centre
        News, media releases and announcements from AUSIEX.
  • Products & Solutions
    • Products & Solutions
      From flexible, seamless trade execution to more efficient onboarding, reporting and customised equities administration tools, our goal is to help our clients grow their businesses with solutions that provide an edge.
      • Trading
        Trade through our website, add the power of AUSIEX to your own platform or leverage our scale with a share trading website under your own brand.
      • Client Onboarding
        Drive efficiency with a straight-through client onboarding experience through our platform or bespoke service.
      • Data & Reporting Services
        Access your data your way with detailed reports via our platform, or data feeds directly into your own platform or planning software.
      • Back Office Services
        Make our experience your advantage with AUSIEX back office solutions, tailored to fit your needs.
  • Contact Us
    • Contact Us
      Located in Brisbane, Melbourne, Perth and Sydney and servicing the whole of Australia, our experienced team are ready to help.
      • New Enquiries
        Let’s talk about how we can partner with you to help grow your business and the wealth of your clients.
      • Need Support
        Support is just a call (or click) away.
      • Forms
        All account application and maintenance forms for advisers and clients.

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

Account Application Forms

Please choose the form that best suits your needs.

Online Application

Important Information

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.

1063

Identity Verification Form

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

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.

Exchange Traded Options (ETOs)

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.

Exchange Traded Options Application Form

Use this application to open a new Exchange Traded Options (ETO) account. You will need an existing Share Trading account.

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

Download PDF

Exchange Traded Options Level Upgrade Form

Important Information

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

1010

ETO Target Market Determination

Describes who this product is appropriate for, any conditions around how we distribute it to customers and when we may need to review our Target Market Determination.

ASX/Chi-X Warrants

ASX/Chi-X Warrant Client Agreement Form

Complete this application to begin trading Warrants.

Important Information

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

Administrative

1071

Account Closure Request Form

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

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.

1064

Additional Authority Form

Use this form to add Additional Authority to your client's accounts.

1018

Change of Company Account Operators Form

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

1070

Change of Dealer Group Form

Complete this form to move to a new Dealer Group.

1005

Change of Personal Contact Details Form

Use this form to 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.

1012

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

Use this form to change your clients’ settlement method, request for your client’s dividends to be paid directly to their linked ACA, and/or to change their nominated bank account used for settlement of trades or their nominated bank account used to transfer funds to and from their cash account by Direct Debit/Credit authority.

1027

Change of Subscription Package Form

Complete this form to change your subscription services.

1059

Change or Removal of Adviser Form

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

Email

Datafeed Requests

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

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.

1057

Dealer Group Application and Maintenance Form

Use this form to set up your Dealer Group for the first time or to change your Dealer Group information.

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.

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.

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.

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.

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.

1053

Partly Paid Security Client Agreement Form

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

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.

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).

1043

Terms of Access

Outlines the Terms of Access for Advisers using AUSIEX.

1046

Trustee Requesting more than one Account Form

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

Disclosure Documents

1030

Application Data Handling Statement

This document outlines what information we collect for your application, how we collect, use and disclose it.

1041

ASX Understanding Options Trading Booklet

A simple guide to understanding options trading from the ASX.

ASX Understanding Trading & Investment Warrants Booklet

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

1020

Best Execution Policy

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

Chi-X Investing in Warrants Booklet

A simple guide to understanding trading and investment warrants from Chi-X.

1041

ETO Product Disclosure Statement

Our Product Disclosure Statement for Exchange Traded Options.

1035

Financial Services Guide

Sets out the financial services and types of financial products that we are authorised to provide under our Australian Financial Services License.

1029

Share Trading Terms and Conditions

Important things you need to know about trading with us.