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      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.
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        With an unwavering focus on delivering quality outcomes for financial institutions and intermediaries, we aspire to be Australia’s leading wholesale broker.
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Client & Adviser Support

Support is just a call (or click) away

Hours: Mon – Fri 8:30am - 5:30pm (Sydney time)

Call

1800 252 351

Then choose from:
Option 1 – To place, amend or cancel a trade
Option 2 – New accounts and applications
Option 3 – General enquiries
Option 4 – Quotes and password resets

Paper plane

Contact one of our Business Development Managers (BDM)

Jay Felipe
Business Development Manager
0409 747 893
Jay.Felipe@ausiex.com.au

Hannah Zhang
Business Development Associate
0435 074 828
Hannah.Zhang@ausiex.com.au

Robert Collender
State Manager
0487 320 769
Robert.Collender@ausiex.com.au

Daniel Paolini
Business Development Manager
0459 895 495
Daniel.Paolini@ausiex.com.au

Nima Fara
Business Development Manager
0435 260 925
Nima.fara1@ausiex.com.au

Vesna Pecanac
Business Development Associate
0436 658 717
Vesna.Pecanac@ausiex.com.au

QLD

Chris Hill
State Manager
0424 147 628
HillC@ausiex.com.au

Luke James
Business Development Manager
0459 888 070
Luke.James@ausiex.com.au

Myalls Fawcett
Business Development Associate
0484 629 172
Myalls.Fawcett@ausiex.com.au

Robert Collender
State Manager
0487 320 769
Robert.Collender@ausiex.com.au

Mary Walker
Business Development Associate
0435 644 311
Mary.Walker1@ausiex.com.au

WA

Robert Collender
State Manager
0487 320 769
Robert.Collender@ausiex.com.au

Mary Walker
Business Development Associate
0435 644 311
Mary.Walker1@ausiex.com.au

Estate management

If you have recently lost someone close to you, we understand this may be a very difficult time.
Below is information that will help guide you through this process, from how to notify us through to what documents you will need to provide. The below relates to all products offered through us however there are some specific requirements depending on the products held, where noted below.

Step 1: Let us know

To ensure the account of your recently deceased client, family member or friend is protected, please notify us of their passing as soon as possible. Please provide us with the deceased’s:

  • Full name
  • Account number/s (if known)
  • Address
  • Date of birth and
  • Date of passing.

Once these details have been verified, we will take the following actions to protect the account(s):

  • Remove access to the account (including additional authorities on the account)
  • Restrict trading
  • Switch off any recurring fees
  • Refund any fees charged after the date of their death (if applicable)

Important Information: Under ASX Business Rules, all CHESS Settlement Facility holdings must be ‘locked’ on initial notification of a deceased estate. This means that the shares cannot be transferred or sold until all requirements have been satisfied.

Step 2: Complete the Notification form

Download and complete the Estate Management Notification form.

The Deceased Estate Notification form is used to notify us of the executors/administrators and solicitors (where applicable) representing an estate and lists the supporting documentation requirements based on the different account types and estate value.

Once we have received and verified this information:

  • We are only able to execute instructions received from the Estate executor, administrator, solicitor or appointed adviser.
  • We will provide you with the portfolio statement and historical transaction summary. This information will assist you in determining how to disburse the shares of the estate.

Step 3: Complete the Disbursement form

Download and complete the Estate Management Disbursement form.

At this point, you are ready to disburse the shares. The Estate Management Disbursement form is used to instruct us to transfer and/or sell the shares of the estate. The information and documentation requirements will depend on the account types held by the deceased.

Once we have received and executed your disbursement instructions, we will automatically close the accounts and send a notification to you.

Important information: All shares must be sold or transferred from the deceased trading account within 3 months of being unlocked, unless signed approval is received from all executors requesting an extension. Please note the maximum extension that can be granted is up to 12 months from the initial unlock date. In the event this does not occur, the holdings may be sold at the discretion of AUSIEX to repay any outstanding balance (where applicable), and release the remaining shares to issuer sponsored holdings. The executor will need to liaise directly with the Share Registry to finalise the shareholdings.

We’re here to help

We are very sorry for your loss, and want to help you by making this process as simple for you as possible. For more information on managing the account/s of a deceased estate, please view the below Estate management frequently asked questions and glossary. Alternatively, please contact us.

No, once we receive notice that a client has passed away we will place a restriction on the account1.  Once the appointed executors have been identified, they can provide a signed letter to us in order to allow you to view the account holdings.

We can provide information to the Estate executor, administrator, solicitor or appointed adviser, such as details of current portfolio holdings (account assets) and historical transaction summaries, provided we receive the Estate Management Notification form and supporting documentation.

Please send your request to us with the relevant account name and number, your contact details and information about your relationship to the deceased (e.g. executor, administrator, solicitor, adviser).

Unlike people, companies cannot become ‘deceased’, so we treat these accounts differently to ‘deceased estates’. In the event that a director of a company with a trading account passes, you will firstly need to contact ASIC to update the company information. Please then let us know via phone or email. We will request a certified copy of the Death Certificate.

To add a director, please complete a Change of Company Account Operators form and send this to us with a certified copy of the new director’s identification (passport or driver license).

Once we are notified that an account holder has passed away, we lock1 the account until all relevant documentation has been provided. During this time, any proceeds from the account, such as dividends or accrued interest, will be inaccessible through our website.

The Estate executor can still access these funds, via the relevant share registry. You may need to provide the share registry with new details, such as an updated tax file number, dividend plan and banking instructions. Please contact the relevant share registry to confirm.

The Estate executor holds responsibility for verifying whether any corporate actions impact the holdings registered in the name of the estate, and acting accordingly. For company announcements, refer to the ASX website.

A testamentary trust is a trust established under a Will, providing control over how assets are distributed to beneficiaries when the trust owner passes away.

It is possible to set up a trading account in the name of a trust. To do this, please send us the following documents to confirm the trust has been established:

  • a completed Estate Management Notification form, and
  • a certified copy of the Will; and
  • a certified copy of the Death Certificate; or a certified copy of the Probate/letter of Administration in relation to the estate trust.

Please also set up a trading account to reflect the new trust structure. (Login required)

Firstly, please notify us of the customer’s passing by phone or email. This will mean that for the options account, we will be able to reduce the potential for market risk by closing any open positions as quickly as possible.

We will request a certified copy of the Death Certificate and may also require other documentation, but which depends on multiple factors. We will advise on which other documentation we require when we receive your notification.

  • Administrator - The person/s appointed by the court in the event of no Will.
  • Beneficiary - Someone who receives or shares in the proceeds from a deceased person’s estate.
  • Death certificate - An official document issued by the Registry of Births, Deaths and Marriages containing the information registered when someone passes away, including the date, place and cause of death.
  • Deceased estate – The property and assets of someone who has passed away.
  • Executor - The person/s named in a Will to take charge of the deceased’s assets and property.
  • Last Will and testament (Will) - A legal document in which a person specifies how they wish their estate to be distributed after their passing.
  • Letter of administration – A documents granted by the Supreme Court, giving authority to an administrator to collect and distribute the assets of the estate, in the absence of a valid Will.
  • Probate - A document issued by the Supreme Court that confirms the validity of a Will, and authorises the executor/s to act.  If this was issued as an electronic grant after 26/11/2018, a non-certified copy is acceptable.
  • Next of kin - A person's closest living relative or relatives.
  • Trustee - A trustee is an individual person or member of a board given control or powers of administration of property in trust with a legal obligation to administer it solely for the purposes specified.

1Under ASX business rules, all CHESS holdings on individual and single trust accounts must be ‘locked’ on initial notification of a deceased estate. This means shares cannot be transferred or sold until all requirements have been satisfied.

Financial difficulty

Sometimes unexpected events can occur in life which can leave you needing support to get financially back on track. Our Customer Service team may be able to help customers experiencing financial difficulty with products issued or managed by AUSIEX or its related entities by:

  • applying concessions to fees and charges; and/or
  • working with you to develop a payment plan.

Our financial assistance process

  1. If you’re experiencing financial difficulty, please contact us. You will be assigned a dedicated case manager, who will ask you questions about your situation and may ask you to provide documents such as payslips, bank statements and medical certificates.
  2. We will review all information available, and get in touch with you to discuss next steps.
  3. At this point, if you choose to apply for financial assistance, we will ask you to submit an application which we will review and either accept or decline.
  4. If accepted, we will work with you to develop a tailored financial assistance plan. If your application for financial assistance is declined, we will let you know our reasons in writing.

If you prefer, we can also work with a representative nominated by you, such as a financial counsellor. Please provide us with their details at any stage of the process.

If you have already applied for financial assistance with us and you are not satisfied with the response, you have the right to lodge a complaint. Please click here for more information.

Your financial assistance plan

This tailored plan of action will:

  • provide details of the new arrangement;
  • highlight any necessary repayments;
  • explain when the new arrangement will end; and
  • advise next steps.

We're here to help

For more information or to apply for financial assistance with us, please contact us.

Dispute Resolution

While we welcome any positive comments you may have, it is equally important for us to know when you have a problem so that we can resolve it and retain your confidence.

To save yourself valuable time, gather all the facts and documents about the complaint, think about the questions you want answered and decide what you want us to do.

Once you have compiled all the relevant information, please follow the below steps.

Step 1 - Talk to us

Where possible, we encourage you to contact us as soon as possible for assistance with your complaint. We aim to resolve your complaint at your first point of contact with us.

Step 2 - Contact Customer Relations

Sometimes, a complaint is complex or requires a more detailed investigation than our team is able to provide. If this is the case, your complaint might be referred to our Customer Relations team for specialist assistance.

If you have tried to resolve your complaint through the Client Service Team and are not satisfied with the outcome, you may also contact our Customer Relations team:

Phone: 1300 302 449
Mail: AUSIEX Customer Relations
Reply Paid 85148
Australia Square NSW 1215

Step 3 – Contact the Australian Financial Complaints Authority

If you are not satisfied with our response and wish to proceed further then you may take the matter to the Australian Financial Complaints Authority (AFCA). AFCA provides fair and independent financial services complaint resolution that is free to consumers.

Before the Australian Financial Complaints Authority can investigate your complaint, you must have first given us the opportunity to review it.

The contact details for the Australian Financial Complaints Authority are:

Phone: 1800 931 678
Email: info@afca.org.au
Internet: www.afca.org.au
Mail: GPO Box 3
Melbourne VIC 3001