Core Equity Services Share Trading Account Phone Fax ......• If applying for a minor (under 18...

1 of 29 CFM1031 (07/12) EQACA

Share Trading Account Application Form

(Advised Clients)

• Wewillactivateyournewtradingaccountwith5-7daysofreceivingyoursignedapplicationandsupportingdocumentation

• Youwillreceiveemailnotificationfromusonceyouraccounthasbeenestablished

• PleaseensurethatyouhavemadeanoteofyourUsernameandTemporaryLoginPasswordsothatyoucanaccessyoursharetradingaccountassoonasithasbeenactivated.YoumustmakeareasonableattempttodisguiseyourUsernameandTemporaryLoginPasswordifyouwriteitdown–thatisscramblethedetailsinsuchawaythatotherswillnotbeabletodecodeit

• PleasereadtheTerms&Conditionsattachedtothisapplicationformbeforecompletingthisform

PLEASE START HERE

• Identification:

– We’rerequiredbylawtoidentifyapplicants.ApplicantswhoARE NOTexistingclientsneedtosupplyoriginalcertifiedphotocopiesofacceptableidentificationdocuments;

– Proofofidentificationdocumentsmustbeintheexactsamedetailsprovidedinthisapplication;

– IfidentificationisconductedbyanAdviser,aphotocopymustbemadefromtheoriginaldocumentandincludeastatement“Thisisatruecopyoftheoriginaldocument”(orsimilarwording)andtheagentssignature.Thephotocopymustbereturnedwiththisapplicationform.

• PleasenoteallfieldsareMANDATORYtocompletewithineachrequiredsectionunlessotherwisespecified

Pleasereturntheoriginalapplicationform,faxandemailwillnotbe accepted.

APPLICATIONINSTRUCTIONSApplicant Type Mandatory Sections

to completeOptional Sections

Instructions

IndividualAccountName(example):PeterJohnBrownNo Account Designation or Trust

(1,2,7,10) (9,11) asapplicable

Usefullgivenandlastnamesofindividual.Whosigns:Individual

JointAccountName(example):PeterJohnBrown&SusanAliceBrownNo Account Designation or Trust

(1,2,3,7,10) (4,9,11) asapplicable

UsefullgivenandlastnamesofindividualsWhosigns:Allindividuals

CompanyAccountName(example):BokumPtyLtdNo Account Designation

(1,2,3*,5,7,10)*ExceptifSoleDirector/Secretary

(4,9,11) asapplicable

UsefullcompanynameWhosigns:Atleast2companyofficers(2Directors,or1Directorand1Secretary)orSoleDirector/Secretary.

Trust - Individual as TrusteeAccountName(example):PeterJohnBrown&SusanAliceBrownAccountDesignation:BrownFamilyA/C

(1,2,3,6,7,10) (4,9,11) asapplicable Thewords“astrusteefor”or“trust”shouldnotbeused.

Usename(s)oftrustee(s)orcustodian(s)insteadoftrustname,fundnameornameofminor.ForSuperannuationFund,“S/F”shouldbeusedinplaceof“SuperFund”.Whosigns:Alltrustees

Trust - Company as TrusteeAccountName(example):BokumPtyLtdAccountDesignation:BokumFamilyA/C

(1,2,3*,5,6,7,10)*ExceptifSoleDirector/Secretary

(4,9,11) asapplicable

Documentation RequiredAll Applicants

• Originalcertifiedphotocopyofidentitydocumentsfornewclients

• Copy(s)ofyourIssuerSponsoredHoldingStatements(ifapplicable)

Foreign Applicants

• Originalcertifiedcopyoforiginalcertificateofregistrationissuedbytheforeignregistrationbody(ifforeigncompanynotregisteredwithASIC)

Trusts

• Originalcertifiedphotocopyofanup-to-dateextractoftheTrustDeed.Extractshouldincludepageswhichshowthetrustname,thetrustee’sname(s)and;showthetrustee’ssignature(s)withwitnesssignatures(ifformaltrust)

Minors

• Ifapplyingforaminor(under18years),pleasealsoprovideanoriginalcertifiedphotocopyoftheminor’sbirthcertificate

SharetradingthroughCoreEquityServicesisaserviceprovidedbyAustralianInvestmentExchangeLtd(“TheParticipant”)ABN71076515930AFSL241400,aParticipantoftheASXGroup.

Core Equity ServicesPhone1300360896

Fax1300668788

LockedBag3005

AustraliaSquare

NSW1215

www.coretrading.com.au

[email protected]

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(Advised Clients)

AdviserName

AdviserCode

Mandatory

CompanyName

ContactNumber

ContactEmail

BrokerageCode

Address Details

ResidentialAddress(cannotbeaPOBox)

Postcode

Country

PostalAddress SameasResidentialAddress

Postcode

Country

CHESS Registration Address

PleaseselectoneofthefollowingforuseastheCHESSregistrationaddressonthisaccount:

Applicant1/Director1/Trustee1PostalAddress

CompanyPostalAddress

Other(pleasecompletebelow)

OtherCHESSRegistrationAddress

Postcode

Country

Contact Details

EmailAddress

YOUMUSTPROVIDEANEMAILADDRESS

Tickyourpreferredcontactnumber

Mobile

Work ( )

Home ( )

Fax ( )

IdonotwishtoreceivemarketingandpromotionalmaterialfromAustralianInvestmentExchangeLtd.

Identification

Ifyouareanexistingcustomer,pleasesupplythefollowing:

Username GotoSection2

OR Ifyouarenotanexistingcustomer,pleaseprovideanoriginalcertifiedphotocopyofthefollowingdocumentation(referExplanatoryNote2)

TaxFileNumberorExemptionCode–optional(referExplanatoryNote1)

Whichaccounttypewouldyouliketocompletethisapplicationfor?

Individual Joint Company

Trust–Individualastrustee Trust–Companyastrustee

1. Adviser Details

Inwhatcapacityyouarecompletingthissectionas:

Individual Director/Secretary Trustee

Forjointaccounts,statementsandnoticeswillonlybepostedtothefirstapplicant’sPostalAddress.

Title

Mr Ms Mrs Miss Dr Other(specify)

FirstGivenName

OtherGivenNames

Surname

Othernamescommonlyknownby(ifapplicable)

DateofBirth Gender

DD / MM / YY Male Female

Leveloftradingexperience

Newtosharetrading Someexperience

Frequenttrader(>3tradespermonth)

Areyouasoletrader? Yes No

SoleTraderBusinessName

SoleTraderABN–optional(referExplanatoryNote1)

2. Personal Details - Applicant 1/Director 1/Trustee 1

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(Advised Clients)

Logindetailsforonlineaccess(referExplanatoryNote3)

Username(6to16alphanumericcharacters)

Doesthisclientrequireonlineaccess?

Yes–completetemporaryloginbelow No–Gotosection3

YouMUSTprovideaTemporaryLoginPasswordforonlineaccess

TemporaryLoginPassword(6to16alphanumericcharacters,andmustnot

containtheword“password”)

PleasemakeanoteoftheTemporaryLoginPasswordyouhavenominated.YouwillbeaskedtochangeyourPassworduponyourfirstlogin.

InwhatcapacityareyoucompletingthisSectionas:

IndividualApplicant Director/Secretary Trustee


Title


FirstGivenName

OtherGivenNames

Surname


DateofBirth Gender


Address Details


Postcode

Country


Postcode

Country

3.PersonalDetails-Applicant2/Director2/Trustee2

Contact Details

EmailAddress



Mobile

Work ( )

Home ( )

Fax ( )


Identification













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(Advised Clients)

InwhatcapacityareyoucompletingthisSectionas:

Individual Director/Secretary Trustee


Title


FirstGivenName

OtherGivenNames

Surname


DateofBirth Gender


Address Details


Postcode

Country


Postcode

Country

Contact Details

EmailAddress



Mobile

Work ( )

Home ( )

Fax ( )


Identification













5. Company Details

4.PersonalDetails-Applicant3/Director3/Trustee3

CompanyName

AustralianCompanyNumber(ACN)

ABNandTaxFileNumberDetails

AustralianBusinessNumber(ABN)–optional(referExplanatoryNote1)

CompanyTaxFileNumberorExemptionCode–optional (referExplanatoryNote1)

RegisteredBusinessName

IndustryType(referExplanatoryNote4)

Address Details

RegisteredAddressoftheBusiness(cannotbeaPOBox)

Postcode

Country

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(Advised Clients)

PostalAddress SameasRegisteredBusinessAddress

Postcode

Country

Contact Details

EmailAddress

Work ( )

Fax ( )

Isthecompanyoperatingasacharity? Yes No

Ifyes,whatisthepurposeofthecharity?

HasthecompanybeenestablishedinAustralia? Yes No

Ifno,pleasecompletethenextfourquestions

Countryofformation/incorporation/registration

WhatistheCompany’sbusinessactivity?

WhatisthepurposeofseekingasharetradingaccountinAustralia?

IsthisforeigncompanyregisteredwithASIC?

Yes PleaseprovideAustralianRegisteredBodyNumber(ARBN)

No Attachacopyoforiginalcertificateofregistrationissuedbytheforeignregistrationbody

PleaselistthefullNamesofallAdditionalDirectorsoftheforeigncompanyordomesticproprietarythatarenotlistedasApplicant1,2or3.Iftherearemorethan3AdditionalDirectors,pleasephotocopythispageandattachthecompletedpagetotheendofyourApplication.

Additional Director 1

Title


FirstGivenName

OtherGivenNames

Surname

Additional Director 2

Title


FirstGivenName

OtherGivenNames

Surname

AdditionalDirector3

Title


FirstGivenName

OtherGivenNames

Surname

Shareholder Details

CompanyType Public Proprietary/Private

IfProprietary/Private,pleaseprovidedetailsofALLindividualswhoarebeneficialownersthroughoneormore(direct/indirect)shareholdingsofmorethan25%oftheCompany’sissuedcapital.

Shareholder 1

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

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(Advised Clients)

Shareholder 2

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

Shareholder3

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

TrustType

Charity Settlement Family Superannuation

Minor Other,pleasespecifybelow

Forformaltrusts,pleaseprovideoriginalcertifiedphotocopyofanup-to-dateextractoftheTrustDeed.

Extractshouldincludethecoverpagewhichshowsthetrustee’sname(s)andthetrustee’ssignature(s)withwitnesssignaturesandadeedofamendment,ifthereisany.

Account Designation (referExplanatoryNote5)

A/C

Pleaseprovideanabbreviatedversionofthefullnameofthetrust(upto23characters,includingspaces).

Thewordsorreferenceto“trust”,“astrusteefor”,“trustee”,“ATF”,“TF”shouldnotbeusedinAccountDesignationasitwillnotbeacceptedbyCHESS.

ThefollowingdetailsarenotapplicableforMinortrusttype–please go to Trustee Details

FullTrustName

Ifcharity,pleasespecifyobjectiveofthecharity

HasthetrustbeenestablishedinAustralia? Yes No

Ifno,pleasecompletethefollowingthreequestions

Whatcountrywasthetrustestablishedin?

Whatistheobjectiveofthetrust?

Whatisthepurposeofseekingasharetradingaccount?

TrustTaxFileNumberorExemptionCode(referExplanatoryNote1)

Trustee Details

Iftherearemorethan3trustees,pleaseprovidenamesandaddressesforthoseadditionaltrustees.

Iftherearemorethan3additionaltrusteespleasephotocopythispage,completeandattachtoyourapplication.

6. Trust Details

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(Advised Clients)

Additional Trustee 1

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

Additional Trustee 2

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

AdditionalTrustee3

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

BeneficiaryDetails

PleaseprovidethefullnameofeachbeneficiaryORtypeofmembershipclass(e.g.unitholder,familymember).Iftherearemorethanthreebeneficiaries/membershipclassespleasephotocopythispage,completeandattachtoyourapplication.

Beneficiary1

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

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(Advised Clients)

Beneficiary2

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

Beneficiary3

Title


FirstGivenName

OtherGivenNames

Surname


Postcode

Country

OR

Membershipclasses

PleasecompleteeitherthenominatedbankaccountdetailsorthirdpartyMarginLenderdetailsifyouwishtosettleoutofanexistingMarginLoan.

Nominatedbankaccount

Youmustprovideanominatedbankaccounttosettleyoursharetradesand/orothersubscriptionsonyouraccount.Thenominatedbankaccountmustbeinthesamename(s)providedinthisapplication.

NewCBAAcceleratorCashAccount (pleasecompletesection8)

or

AccountName

BSB

AccountNumber

Bank

Branch

or Margin Lending Details

Completeonlyifyouintendtosettleyoursharetradingtransactionsthroughanexistingmarginloan.

MarginLender(M/L)

M/LAccountNumber

M/LAccountName

M/LContactPerson(ifknown)

M/LContactNumber(ifknown)

7. Settlement Options

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(Advised Clients)

8. CBA Accelerator Cash Account

Initial deposit to be made by:Funds Transfer (you will be able to perform a funds transfer once you receive your BSB and account number), or

Cheque, or

Funds Transfer from a nominated Commonwealth Bank Account (must be in the same name as the application).

Initial Deposit Amount

$

In words

From Account details

Account Name

BSB

Account Number

Is a deposit book required?

No Yes

Is a cheque book required?

No Yes

Is ATM/EFTPOS access required?In section 6 you will be requested to confirm your Signaturerequirements for operation of joint/company (including trusts)accounts. If you choose more than one/two to sign no card/s will beissued. If no selection is made the account will be established asmore than one to sign

No

Yes, issue a new Keycard (not available for Self-Managed Super Funds)

Yes, link to an existing Commonwealth Bank Card (not available for Self Managed Super Funds)

Statement Delivery Method

Online (you must be registered for NetBank).

Paper (additional fees may be incurred).

Statement Delivery Address (for paper statements)Name

Address Details

Country

Postcode

Commission Option

Nil Standard (0.25%)

Trail Commission Disclosure• We may pay a commission (by lump sum or ongoing) to your agent

(adviser) who referred you to us, or to a third party associated to that agent.

• If you sign this Application Form at Section 6, you consent to the

payment of the commissions referred to above.

• You can cancel the payment of any ongoing commissions by

instructing Core Equity Services in writing.

• You can elect to pay any ongoing commissions to another agent

you appoint in the future by instructing Core Equity Services in writing.

• The interest rate on your account(s) will be reduced by the

commission amount, and the amount of interest payable on the

account balance will be reduced by the amount of the trail

commission.

Declaration, Authorities and Acknowledgements

The funds in this account are held in trust.

No Yes Where the funds in this account are held in trust, the trustdeed/instrument authorises the opening and operation of theaccount in the manner set out in this authority.If you are not opening this account wholly or predominantly forpersonal or domestic use, please tick the box [ ].I/We have been given a copy of the Accelerator Cash Account andTerm Deposit General Information and Terms and Conditionsdocuments and accept the terms and conditions (including thesection on ‘Customer Information and Privacy’) for this account. I/We also acknowledge and consent to the use and disclosures ofmy/our personal information as detailed in the section on ‘Customer Information and Privacy’ and to the payment of thecommissions referred to above.I/We declare that my/our information (including identification details)as shown on this form are true and correct, and that I/we understandthat it is an offence to provide false or misleading information.I/We have received and reviewed a copy of the Electronic BankingTerms and Conditions (available at www.commbank.com.au) andaccept those terms and conditions.I/We acknowledge that my/our first use of NetBank will signifymy/our acceptance of, and agreement to be bound by, the BanksElectronic Banking Terms and Conditions.

Signature requirements for operation of joint/company (includingtrusts) accounts only:

Either to sign

More than one to sign

More than two to sign

(Note: No card/s will be issued where ‘More than one/two to sign’ option is ticked)Note: If no selection is made the account will be established as more than one to sign.

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(Advised Clients)

Pleaseticktheoption(s)youarerequestingfor:

ISSUERtoBROKERSPONSORSHIPTransfermy/ourIssuerParticipantSponsoredHoldingstoTheParticipant.

(Please attach copies of all relevant holdings Statements)

ShareholderReferenceNumber(SRN)

ASXCodeorSecurityName Qty





SRN

ASXcode Qty

I/WeauthoriseTheParticipanttoconverttheabovelistedHolding(s)intomy/ourShareTradingAccount.

BROKERtoBROKERTRANSFERYoumayselecttoeithertransferallorpartofyourexistingbrokerholdings.

ExistingBrokerName:

PID:

HIN:

A/CNumber:

NewBrokerName:

Australian Investment Exchange Ltd

PID: 0 6 3 8 1

a) TransferALLBrokerSponsoredHoldings toTheParticipant. Yes No

Note: WewilltransferyourHolderIdentificationNumber(HIN)

OR

b) TransferALLBrokerSponsoredHoldingsbutNOTmy/ourHINtoTheParticipant. Yes No

OR

c) TransferthefollowingexistingBroker SponsoredHoldingstoTheParticipant. Yes No

PleaseliststockthatyouwouldliketotransferfromyourExistingBroker.Attachaseparatesheetifmorespaceisrequired.


NB:Itmaybenecessarytore-lodgeyourstandinginstructionswiththeshareregistriesaftersometransfers.Theseincludetaxfilenumbers,bankingdetailsandDRPordividendinstructions.

9. CHESS Sponsorship Request

Important:TheNameandregistrationdetailthatappearsonyourcurrentregisteredholdingsMUSTbethesamenamethatappearsonyourTradingAccount.Ifthisrequirementisnotmetanyrequesttotransferholdingsmaybedelayedorrejected.

YourtradingaccountwillbeCHESSsponsoredbytheParticipantunlessyouhaveprovidedthedetailsofaThirdPartyMarginLendingaccountinSection7ofthisapplicationform.

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(Advised Clients)

AllAccountHoldersMUSTsignthisdeclaration–photocopiedandfaxedsignaturesarenotaccepted

I/wetheundersigned(beingtheapplicant(s)):

1. DeclarethattheinformationI/weprovidedtoyouinmy/ouronlineapplication(andsummarisedintheSummaryofYourInformationsectionofthisApplication)iscompleteandcorrectandacknowledgethatitwillformpartofthecontract.

2. Acknowledgethat:

(a)thenameofindividualpersonsgiveninthisapplicationaretrueandcorrectandthatthelawprohibitstheuseoffalsenames,aswellasthegivingoruseoffalsedocumentsinconnectionwithanidentificationprocedure;

(b)I/wehavebeengiventheopportunityduringtheonlineapplicationprocesstoindicatewhetherI/wedonotwishtoreceivepromotionalmaterialfrom“TheParticipant”.Consenttotheusesanddisclosuresofmy/ourpersonalinformationsetoutinthePrivacysectionsoftheTermsandConditions.

Declaration to Terms and Conditions

1. I/We,theClient(s)acknowledgethatwehavebeensuppliedwith,andread,thecurrentAustralianInvestmentExchangeLtd(“TheParticipant”)FinancialServicesGuidepriortoreceivinganyfinancialservicefrom“TheParticipant”.

2. I/We,theClient(s),agreetobesponsoredby“TheParticipant”underthetermsoftheParticipantSponsorshipAgreement.I/WehavereadandagreetoacceptandabidebythetermsoftheAgreement,andhavebeensuppliedwith,readandunderstoodthewrittenexplanationoftheimplicationsofthoseterms.

3. I/We,theClient(s),authorisetheAdvisertoopenaShareTradingAccountwith“TheParticipant”andtogiveinstructionto“TheParticipant”ontheAccountonmy/ourbehalf.

4. I/We,theClient(s),acknowledgethatasaresultofmy/ourShareTradingAccountmanagedbymyAdviserwith“TheParticipant”havingStraightThoughProcessing(anautomatedprocessingofasecuritiestradethroughtheStockExchangeAutomatedTradingSystem)itispossiblethatanyordersonmy/ourAccountmaybematchedwithanotherorderalsoplacedby“TheParticipant”.This“crossing”maybewithanorderbyanotherclientof“TheParticipant”orby“TheParticipant”itself.

5. I/WeauthoriseandrequestAustralianInvestmentExchangeLtd(APCAUserIDno.093993–Debitand093992-Credit)toarrangeforfundstobedebitedfrom/creditedtomy/ouraccountsasspecifiedinthisApplicationthroughtheBulkElectronicClearingSystem(BECS).I/WeacknowledgethatthisauthorityisgovernedbyandwillremaininforceinaccordancewiththeDirectDebit/CreditRequestServiceAgreementsectionsoftheTermsandConditionsgoverningeachproductI/weareapplyingfor.

6. I/We,theClient(s),acknowledgeandagreethatallconfirmationsaretobesentelectronicallytomy/ouremailandwheretheconfirmationisposted,thatachargewillapply.

7. I/Weauthorise“TheParticipant”toacceptinstructionsonmy/ourbehalffrommy/ourAdviserandconfirmthatmy/ourAdviserhasthepowertodothefollowinginmy/ournameandonmy/ourbehalffromtimetotime:

(a) toacquire,buy,dealwithanddisposeofanysecurities;

(b)topayorreceivepaymentforanysecuritiestransactionsandrelatedexpensesandtogiveagoodreceiptanddischargeforthesecurities,proceedsandothermoniestoexecuteallnecessaryorpropercontractsandotherdocumentsforthecustody,dealingandtransferofsecuritiesandrelatedmatters;

(c) toexerciseallrightsandprivilegesandperformalldutiesandobligationswhichmaynoworinthefutureapplytome/usasaholderofsecurities;

(d)toexecuteallnecessaryorpropercontractsandotherdocumentsforthecustody,dealingandtransferoffinancial

productsandrelatedmatters.

8. I/Weacceptthatmy/ourAdviserhasaccesstoallinformationrelatingtotransactionsundertakeninrelationtodealingswith“TheParticipant”.

9. I/Weacknowledgethatmy/ourAdvisermaydelegatetheauthorisationinclause7abovetopersonsnominatedbytheLicenceHolderfromtimetotime.

10.I/We,theClient(s),declarethatI/Wehavethelegalcapacitytomakethesedeclarations,accepttheconditionsandenterintotheagreementsreferredtoinpoints1,2,3,4,5,6,7,8and9above.

For Trusts I/we:

a)Warrantthatthetrustdeed/instrumentauthorisestheopeningandoperationoftheaccountascontemplatedbythisApplication,and

b)Warrantthatauthorityhasbeengivenbysignatureofthetrustee(s),orwherethetrusteeisacompany,byresolutionpassedatalegallyconstitutedmeetingofdirector(s)ofthecompanyfortheopeningandoperationoftheaccount/sinthenameofandonthetermsandconditionsandinthemannersetoutinthisApplication.

SignatureofApplicant1/Director1/Trustee1

✘Date:

DD / MM /YY


✘Date:

DD / MM /YY


✘Date:

DD / MM /YY

Adviser Declaration

1. Astheadviser,Iagreethattheaboveclienthasbeenprovidedwithandread,“TheParticipant’s”FinancialServicesGuidepriortoreceivinganyfinancialservicefrom“TheParticipant”.

2. Astheadviser,IagreethatIhaveperformedthenecessaryclientidentificationcheckrequiredbylaw,theASXandanyotherrelevantauthorityandthatIhavesufficientevidenceofthischeckwhichwillbekeptforsevenyears.

3. Astheadviser,Iacknowledgethat“TheParticipant”reliesuponustoperformthenecessaryIDcheckinordertosatisfytheirrequirementsandthat“TheParticipant”canrequestcopiesofidentificationatanytime.Iacknowledgethattheprocessforprovidingassuranceofclientidentificationto“TheParticipant”maychange,at“TheParticipant’s”discretion,atanytime.

4. Astheadviser,IacknowledgethatIwillsendacopyofalldocumentsusedtoverifymyclient’sdetailsto“TheParticipant”togetherwiththeapplicationform.Iacknowledgethatthecopymustbemadefromanoriginaldocumentandincludeastatement“Thisisatruecopyoftheoriginaldocument”(orsimilarwording)andmysignature.

ForAdviser,signhere

AdviserName

SignatureofAdviser

✘Date:

DD / MM /YY

10. Declaration & Signature(s)

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(Advised Clients)

I/We authorise my/our Adviser (Authorised Adviser) as set out below to act on my/our behalf on the Accelerator Cash Account requested in this application form, and any subsequent Term Deposit Accounts opened in the future, to the extent of their authority set out below, to send instructions to the Commonwealth Bank of Australia (Bank) to:

Acknowledgement and Request

a) I/We authorise the Bank to act on instructions received by telephone, email or facsimile from my/our Authorised Adviser/s (including their employees, agents and contractors) to:

– Request general account (including balance and individual transactions) and personal information related to the account/s nominated on this form, order cheque books, deposit books and/or KeyCards which will be sent to the address I/we nominate.

b) I/We authorise the Bank to act on instructions received by telephone, email or facsimile from my/our Authorised Adviser/s to:

– Transfer funds from my/our account/s and set up periodical payments to accounts in exactly the same name of my/our account which the funds are being transferred from within the Bank;

c) I/We also authorise the Bank to act on signed instructions received by email attachment, facsimile or mail from my/our Authorised Adviser/s to:

– Transfer funds and set up periodical payments from my/our account/s nominated on this form to any other account specified on the written request provided.

– Place money on term deposit with the Bank in my/our name/s for any term and to withdraw on maturity, or by arrangement with the Bank prior to maturity, any such moneys held on term deposit, give valid discharges for interest paid and principle repaid and to otherwise exercise all the rights as permitted in this authority.

Account Holder/s, please sign:

This authority must be signed by all Account Holder/s:I/We:

– authorise and request the Bank to accept and act upon any instructions issued by my/our Authorised Adviser (including their representative under clause (a) above) pursuant to this authority and undertake and ratify whatever my/our Authorised Adviser lawfully does or causes to be done pursuant to this authority;

– understand that the appointment of my/our Authorised Adviser remains effective until I/we revoke it by providing a notice in writing to the Bank; and

– acknowledge that any instructions given by me/us in accordance with this authority will be relied on by the Bank and that the Bank will not be liable for any loss or damage I/we, or anyone else, suffers where the Bank acts on those instructions in good faith, unless it is proved that the Bank was negligent. Where the Bank agrees to supply services to me/us as a consumer, as defined in the Australian Securities and Investments Commission Act 2001 (`the Act’), then the Bank’s liability will be determined in accordance with the Act. The Act permits the Bank in some circumstances to limit its liability to resupplying services to me/us.

11. Adviser Authority to Operate

Important: Only use this form if you wish to authorise your Adviser to conduct transactions on your Accelerator Cash Account.

AccOunt HOldeR/s sIgnAtuRe/s

Account Holder 1 / trustee 1 or director 1(on behalf of company Account Holder)

Signature

✘


Signature

✘


Signature

✘

AutHORIsed AdVIseR/s tO cOMPlete

Authorised Adviser, please complete and sign below:

I/We:

– acknowledge that I/we have received and agree to be bound by the Terms and Conditions governing the account/s and consent to the uses and disclosures of my/our personal information set out in the Privacy sections of those Terms and Conditions.

Adviser 1

Signature

✘

Adviser 2

Signature

✘

InteRnAl use OnlY

Trading A/C Number:

HIN:

Date: Initials:

/ /

Please post your completed Application Form to us at:

Core Equity Services Locked Bag 3005 Australia SquareNSW 1215

Date

DD / MM / YY

Date

DD / MM / YY

Date

DD / MM / YY

Date

DD / MM / YY

Date

DD / MM / YY

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(Advised Clients)

SecondaryIdentification

• AnoticethatwasissuedtoanindividualbyatheCommonwealth,stateorTerritorywithinthepreceding12monthswhich:

– Containsthenameofthepersonandhisorherresidentialaddress;

– RecordstheprovisionoffinancialbenefitstotheindividualunderalawoftheCommonwealth,StateorTerritory.

• TaxationNoticeissuedtoindividualwithinthepreceding12monthswhichcontainsthenameoftheindividualandhisorherresidentialaddressandrecordsadebtpayabletoorbytheindividualbyortotheCommonwealthunderaCommonwealthlawrelatingtotaxation

• Anoticethatwasissuedbyalocalgovernmentbodyorutilitiesprovidere.g.gas,electricity,water,rateswithinthepreceding 3monthsthat:

– Containsthenameofthepersonandhisorherresidentialaddress;

– Recordstheprovisionofservicesbythelocalgovernmentbodyorutilitiesprovidertothataddressortothatperson.

• Driverslicenceissuedoverseas

• SecurityGuard/CrowdSafetyOfficeridentitycard

Howtocertifydocuments

Eachcertifiedphotocopy(s)mustincludethestatement(orsimilarwording):“Icertifythatthisisatruecopyoftheoriginaldocument.”

Thecertifiermustincludetheirfullname,original signature (photocopiedsignaturesarenotaccepted)andqualificationoroccupationwhichmakesthateligible.

Pleaseattachtheoriginalcertifiedcopy(ies)ofthedocument(s)toyourapplication.DONOTsendoriginaldocuments,orcopiesofcertifiedcopies.

Thelistofeligiblepersonswhoareallowedtocertifydocuments

• Abarristerorasolicitor

• Ajudgeoramagistrate

• AchiefexecutiveofficerofaCommonwealthcourt

• Aregistrar/deputyregistrarofacourt

• AJusticeofthePeace

• Apublicnotary

• Apoliceofficer

• AnagentofAustraliaPostwhoisinchargeofanofficesupplyingpostalservicestothepublic

• ApermanentemployeeofAustraliaPostwith2ormoreyearsofcontinuousservicewhoisemployedinanofficesupplyingpostalservicestothepublic

• AnAustraliandiplomaticorconsularofficer

• Anofficerwith2ormorecontinuousyearsofservicewithoneormorefinancialinstitutions

• Afinancecompanyofficerwith2ormorecontinuousyearsofservicewithoneormorefinancecompanies

• AnofficerorauthorisedrepresentativethatholdsanAustralianfinancialserviceslicenceandhas2ormorecontinuousyearsofservicewithoneormorelicences

• Amemberof:

– theInstituteofCharteredAccountantsinAustralia;

– CPAAustralia;

– theNationalInstituteofAccountantswith2ormoreyears ofcontinuousmembership.

ExplanatoryNotes

Date

DD / MM / YY

Date

DD / MM / YY

Date

DD / MM / YY

Date

DD / MM / YY

Date

DD / MM / YY

1.AUSTRALIANBUSINESSNUMBER(ABN),TAXFILENUMBER(TFN)OREXEMPTIONCODE

ProvidingyourABN,TFNorExemptionCodeisnotcompulsory,butifyoudonot,taxmaybetakenoutofyourinterestatthehighestmarginaltaxrateplusMedicarelevy.

TFN and Trusts

Formaltrust-establishedasalegalentityunderaformaltrustdeedandhasaTFN.PleasequotetheTFNoftheformaltrust.

Informaltrust-noformalarrangementsinplacee.g.minor,andthereisnorequirementforyoutofurnishaTrustincometaxreturntotheAustralianTaxationOffice.

PleaseprovidetheTaxFileNumber(s)oftheTrustee(s).

2.IDENTIFICATION

PrimaryPhotographicIdentification(SufficientIDbyitself)

• AustralianPassportissuedbytheCommonwealth,whichhasnotbeenexpiredfor2yearsormore

• DriverslicenceissuedinAustraliaorNewZealandthatcontainsaphotographofthepersoninwhosenamethedocumentisissued

• ProofofAgeCards–issuedunderalawofastateorterritory(aNSWPhotoCardasof13December2008)thatcontainsaphotographofthepersoninwhosenamethedocumentisissued

• NSWPhotoCardandBirthCard(notcurrentlyavailableinotherstates)

• InternationalPassportorsimilardocumentissuedforthepurposeofinternationaltravelwhich:

– containsaphotographandsignatureofthepersoninwhosenamethedocumentisissued;

– isissuedbyaforeigngovernment,theUnitedNations(UN)oranagencyoftheUN.

• Anationalidentitycardissuedforthepurposeofidentity:

– containsaphotographandsignatureofthepersoninwhosenamethedocumentisissued;

– Issuedbyaforeigngovernment,theUnitedNations(UN)oranagencyoftheUN.

• Firearmslicenceissuedunderlaw(AllStates)

• DefenceForceIdentityCard(otherthanwherethecardisissuedtospousesofdefenceforcepersonnel)

Ifwritteninlanguagenotunderstoodbythepersoncarryingouttheverification,accompaniedbyanEnglishtranslationfromanaccreditedtranslator.

PrimaryNonPhotographicIdentification

• BirthcertificateorbirthextractissuedbyanAustralianState orTerritory

• Birthcertificateissuedbyaforeigngovernment,theUnitedNationsoranagencyoftheUN

• CitizenshipcertificateissuedbytheCommonwealth

• Citizenshipcertificateissuedbyaforeigngovernment

• ApensioncardorhealthcarecardissuedbyCentrelinkthatentitlesthepersonwhosenamethecardisissued,tofinancialbenefits

Ifwritteninlanguagenotunderstoodbythepersoncarryingouttheverification,accompaniedbyanEnglishtranslationfromanaccreditedtranslator.

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(Advised Clients)

3.USERNAME

IfyournominatedUsernameisalreadyinuse,wewillnominateasimilaralternativeonyourbehalf.YouwillreceiveconfirmationofyourUsernamewithyourWelcomeLetterorEmail.

4.INDUSTRYTYPE

Pleaseselectoneoftheseoptions:

• Accommodation,CafesandRestaurants

• Agriculture,ForestryandFishing

• Communications

• Construction

• CulturalandRecreationalServices

• Education

• Electricity,GasandWaterSupply

• FinanceandInsurance

• GovernmentAdministrationandDefence

• HealthandCommunityServices

• Manufacturing

• Mining

• PersonalandOtherServices

• PropertyandBusinessServices

• RetailTrade

• TransportandStorage

• WholesaleTrade

• Other

5.ACCOUNTDESIgNATION

AccountDesignationisusedwhenyouwishtotradeunderthenameofaSuperannuationFund,FamilyTrust,MinororDeceasedEstate.

Examplesinclude:BrownS/FA/C,BrownFamilyA/C,Louise Brown(minor).

DIRECTDEBITREQUESTSERVICEAgREEMENT

1. Theparticipantwilladviseyou,inwritingorelectronically,intheformofaConfirmation,thedrawingdetailsthatincludesthesettlementamountdueandthesettlementdate.

2. Wherethesettlementdatefallsonanon-businessday,theParticipantwilldrawtheamountonthefollowingbusinessday.

3. TheparticipantreservestherighttochargeadishonourfeeifanydebititemalreadydebitedfromyournominatedaccountisreturnedasunpaidbytheFinancialInstitution.

4. Theparticipantwillkeepyourinformationaboutyournominatedaccountatthefinancialinstitutionprivateandconfidentialunlessthisinformationisrequiredbyustoinvestigateaclaimmadeonitrelatingtoanallegedincorrectorwrongfuldebt,orasotherwiserequiredbylaw.

5. Intheeventofadebitreturnedunpaid,theParticipantmayattemptaredrawonyournominatedaccount.

6. Theparticipantwilladviseyou14daysinadvanceofanychangestotheDirectDebitarrangements.

7. Ifyouprovideanincorrectbankaccountnumber,youmayincurafeeiftheParticipanthasprocessedatransactiontothataccount.

Your rights

8. YoumayterminatetheDirectDebitarrangementofyourtradeswithus,however,thisterminationmustbeinwriting.

9. Whereyouconsiderthedebitisincorrectineithertheduedateoramountorboth,youshouldraisethematterwithTheParticipant.

Your responsibilities

10. Itisyourresponsibility:

• tocheckwiththeFinancialInstitutionwhereyouraccountisheldbeforecompletingtheDirectDebitRequest(DDR)asDirectDebitingthroughBulkElectronicClearingSystem(BECS)isnotallowedonthefullrangeofaccounts.Youshouldalsocompleteyouraccountdetails,includingBankStateBranch(BSB)number,directlyoffarecentaccountstatementfromyourFinancialInstitution;

• toensuresufficientclearedfundsareavailableinthenominatedaccounttomeetthedebitontheduesettlementdateofyourtransactionsexecutedbytheParticipant;

• toensurethattheauthorisationtodebitthenominatedaccountisinthesamenameastheaccountsigningtheinstructionheldbythefinancialinstitutionwheretheaccountisheld;

• toadviseusiftheaccountyouhavenominatedtodebitistransferredorclosed;

• toensurethatsuitablearrangementsaremadeiftheDirectDebitiscancelled:

–byyourself;

–byyournominatedFinancialInstitution;or

–foranyotherreason.

SharetradingthroughCoreEquityServicesisaserviceprovidedbyAustralianInvestmentExchangeLtd(“TheParticipant”,“we”,“us”or“our”)ABN71076515930AFSL241400,aParticipantoftheASXGroup.

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TERMSANDCONDITIONSOF PARTICIPANTSPONSORSHIPAgREEMENT

NOTICE:Beforeyousign,pleasecontactaClientServicesOfficeroftheParticipantifyourequireanexplanationoftheeffectofthisSponsorshipAgreement.

RECITALS

A. ASXSettlementPtyLimited(ASXSettlement)initscapacityastheapprovedClearingandSettlementFacilityundertheCorporationsAct,operatestheClearingHouseElectronicSubregisterSystem(“CHESS”).

B. CHESSallowsClientstoholdFinancialProductsinanuncertificatedforminholdingssponsoredbytheParticipant.

C. TheClient(“theParticipantSponsoredHolder”)agreestobesponsoredbytheParticipant.

AgREEMENT

1.0 DEFINITIONSANDINTERPRETATIONS

1.1 InthisAgreement,

“ASXClear”meansASXClearPtyLtdanditssuccessors;

“ASXSettlement”meanstheASXSettlementPtyLimitedABN49008504532asapprovedastheClearingandSettlementFacilityundertheCorporationsActtooperateCHESS;

“CHESSHolding”meansanuncertificatedholdingofFinancialProductsonasub-registerforthatclassofFinancialProductsmaintainedbyASXSettlement;

“HIN”meansHolderIdentificationNumber;

“TheParticipant”,“we”,“us”or“our”meansAustralianInvestmentExchangeLtdABN71076515930AFSL241400ofLevel7,141StGeorgesTerrace,Perth,WesternAustralia;

“Rules”meanstheASXSettlementOperatingRules;

“SponsoredHolding”meansaCHESSHoldingoftheParticipantSponsoredHolderwhichisidentifiedbyaHINwhichis,attherequestoftheParticipantSponsoredHolder,notifiedinwritingbytheParticipanttotheParticipantSponsoredHolderafterthisAgreementcommences;and

“WithdrawalInstructions”meansinstructionsforwithdrawalofFinancialProductsfromaSponsoredHolding:

(a) AnytermusedinthisAgreementwhichisdefinedintheASXSettlementOperatingRuleshasthesamemeaninggiventothemintheASXSettlementOperatingRules;

(b) Wordsexpressedinonegenderincludeallgenders;andWordsexpressedinthesingularincludethepluralandviceversa;

(c) ThisAgreementisintendedtocomplywiththeASXSettlementOperatingRulesandshallbereadandconstruedaccordingly.(AcopyofanyfurtherdefinitionsmaybeobtainedfromtheParticipantbyrequest).

2.0 APPOINTMENT

2.1 TheParticipantSponsoredHolderappointstheParticipanttoprovide,andtheParticipantagreestoprovide,transferandsettlementservicesasagentfortheParticipantSponsoredHolderinrelationtoSponsoredHoldingsonthetermsandconditionscontainedinthisAgreement.

3.0 PARTICIPANTRIgHTS

3.1 WheretheParticipantSponsoredHolderauthorisestheParticipanttobuyFinancialProducts,theParticipantSponsoredHolderwillpayforthoseFinancialProductswithinthreeBusinessDaysofthedateofpurchase.TheParticipantmayrequirepaymentoradepositbeforeitexecutestheParticipantSponsoredHolder’sinstructionstobuyFinancialProducts.

3.2 SubjecttoClause3.3,theParticipantisnotobligedtotransferFinancialProductsintotheParticipantSponsoredHolding,wherepaymentforthoseFinancialProductshasnotbeenreceived,untilpaymentisreceived.

3.3 WhereacontractforthepurchaseofFinancialProductsremainsunpaid,aftertheParticipanthasmadeademandoftheParticipantSponsoredHoldertopayfortheFinancialProducts,theParticipantmaysellthoseFinancialProductsthatarethesubjectofthatcontractattheParticipantSponsoredHolder’sriskandexpenseandthatexpenseshallincludebrokerage,andstampdutyandanyothercostsincurredbytheParticipant.

3.4 WheretheParticipantclaimsthatanamountlawfullyowedtoithasnotbeenpaidbytheParticipantSponsoredHolder,theParticipanthastherighttorefusetocomplywiththeParticipantSponsoredHolder’sWithdrawalInstructions,butonlytotheextentnecessarytoretainFinancialProductsoftheminimumvalueheldinaParticipantSponsoredHolding(wheretheminimumvalueisequalto120%ofthecurrentmarketvalueoftheamountclaimed).

4.0 PARTICIPANTSPONSOREDHOLDER’SRIgHTS

4.1 SubjecttoClauses3.3and3.4,theParticipantwillinitiateanyTransfer,ConversionorotheractionnecessarytogiveeffecttoWithdrawalInstructionswithintwo(2)BusinessDaysofthedateofthereceiptoftheWithdrawalInstructions.

4.2 TheParticipantwillnotinitiateanyTransferorConversionintooroutoftheParticipantSponsoredHoldingwithouttheexpressauthorityoftheParticipantSponsoredHolder.

4.3 TheParticipantisanAustralianFinancialServicesLicenseeandthereforeregulatedbyAustralianSecuritiesandInvestmentCommission(ASIC)andsubjecttotheregulationsimposedbyASIC.Inaddition,asaParticipantoftheASXGroup,theParticipantisboundbytheASXOperatingRules,ASXSettlementOperatingRules,ASXClearOperatingRulesandassociatedprocedures.TheParticipantSponsoredHoldercanobtainfurtherinformationastothestatusoftheParticipantfromeitherASIC,ASX,ASXSettlementorASXClear.

4.4 TheParticipantSponsoredHoldermaylodgeacomplaintagainsttheParticipantwitheithertheASX,ASXSettlement,ASXClearortheFinancialOmbudsmanServiceasaresultofanycontraventionofthisagreement.AnyclaimforcompensationcanbelodgedwiththeNationalGuaranteeFundwhichoperatesasacompensationarrangementforinvestorswhomaysufferlossduetothedefalcationbyMarketParticipantsinrelationtoequitiesandwarrantsandexchangetradedoptions.

5.0 SUPPLYOFINFORMATION

5.1 TheParticipantSponsoredHoldershallsupplyallinformationandsupportingdocumentationthatisreasonablyrequiredtopermittheParticipanttocomplywiththeregistrationrequirements,asareinforcefromtimetotime,undertheASXSettlementOperatingRules.

6.0 EXCHANgETRADEDOPTIONS,PLEDgINgANDSUBPOSITIONS

6.1 WheretheParticipantSponsoredHolderarrangeswithASXCleartolodgeFinancialProductsinaParticipantSponsoredHoldingascoverforwrittenpositionsintheAustralianOptionsMarket,andinformstheParticipantofthearrangement,theParticipantSponsoredHolderauthorisestheParticipanttotakewhateveractionisreasonablyrequiredbyASXClearinaccordancewiththeRulestogiveeffecttothatarrangement.

6.2 WheretheParticipantSponsoredHolderarrangeswithanypersontogiveachargeoranyotherinterestintheFinancialProductsinaParticipantSponsoredHolding,theParticipantSponsoredHolderauthorisestheParticipanttotakewhateveractionisreasonablyrequiredbythepersoninaccordancewiththeRulestogiveeffecttothatarrangement.

Share Trading Account Terms and Conditions

(Advised Clients)

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(Advised Clients)

TheParticipantSponsoredHolderacknowledgesthatwhere,inaccordancewiththisAgreementand/ortheParticipantSponsoredHolder’sinstructions,theParticipantinitiatesanyactionwhichhastheeffectofcreatingasub-positionoverFinancialProductsintheParticipantSponsoredHolding,therightoftheParticipantSponsoredHoldertotransfer,convertorotherwisedealwiththoseFinancialProductsisrestrictedinaccordancewiththetermsoftheRulesrelatingtosub-positions.

6.3 NothinginthisAgreementoperatestooverrideanyinterestofASXClearintheFinancialProducts.

7.0 FEES

7.1 TheParticipantSponsoredHoldershallpayallBrokeragefeesandassociatedtransactionalcostswithintheperiodprescribedbytheParticipant.

8.0 NOTIFICATIONSANDACKNOWLEDgEMENTS

8.1 TheParticipantSponsoredHolderacknowledgesthatiftheParticipantisnotaParticipatingOrganisationofASX,neitherASXnoranyRelatedPartyofASXhasanyresponsibilityforsupervisingorregulatingtherelationshipbetweentheParticipantSponsoredHolderandtheParticipant,otherthaninrelationtotheRulesrelatingtoSponsorshipAgreements.

8.2 TheParticipantSponsoredHolderacknowledgesthatifaTransferistakentobeeffectedbytheParticipantunderSection9oftheASXSettlementOperatingRulesandtheSourceHoldingfortheTransferisaParticipantSponsoredHoldingundertheSponsorshipAgreement,then:

(a) theParticipantSponsoredHoldermaynotassertorclaimagainstASXSettlementortherelevantIssuerthattheTransferwasnoteffectedbytheSponsoringParticipantorthattheSponsoringParticipantwasnotauthorisedbytheParticipantSponsoredHoldertoeffecttheTransfer;and

(b) unlesstheTransferisalsotakentohavebeeneffectedbyaParticipatingOrganisationofASXoraClearingParticipantofASXClear,theParticipantSponsoredHolderhasnoclaimarisingoutoftheTransferagainsttheNationalGuaranteeFundunderPart7.5,Division4oftheCorporationsRegulations.

8.3 IntheeventthattheParticipantbreachesanyoftheprovisionsofthisAgreement,theParticipantSponsoredHoldermayreferthatbreachtoanyregulatoryauthority,includingASXSettlement.

8.4 IntheeventthattheParticipantissuspendedfromCHESSparticipation,subjecttotheassertionofaninterestinFinancialProductscontrolledbytheParticipant,bytheliquidator,receiver,administratorortrusteeofthatParticipant:

(a) theParticipantSponsoredHolderhastheright,withintwenty(20)BusinessDays,togivenoticetoASXClearrequestingthatanyParticipantSponsoredHoldingsberemovedeither:

(i) fromtheCHESSSubregister;or

(ii) fromthecontrolofthesuspendedParticipanttothecontrolofanotherParticipantwithwhomtheyhaveconcludedavalidSponsorshipAgreementpursuanttoRule12.19.10;or

(b) wheretheParticipantSponsoredHolderdoesnotgivenoticeunderClause8.4.(a),ASXSettlementmayeffectachangeofControllingParticipantunderRule12.19.11andtheParticipantSponsoredHolderwillbedeemedtohaveenteredintoanewSponsorshipAgreementwiththesubstituteParticipantonthesametermsastheexistingSponsorshipAgreement.WhereaParticipantSponsoredHolderisdeemedtohaveenteredintoaSponsorshipAgreement,thenewParticipantmustenterintoaSponsorshipAgreementwiththeParticipantSponsoredHolderwithinten(10)BusinessDaysofthechangeofControllingParticipant.

8.5 TheParticipantSponsoredHolderacknowledgesthatbeforetheParticipantSponsoredHolderexecutedtheAgreement,theParticipantprovidedtheParticipantSponsoredHolderwithanexplanationoftheeffectoftheSponsorshipAgreementtotheParticipantSponsoredHolderandtheParticipantSponsoredHolderunderstandstheeffectoftheAgreement.

8.6 TheParticipantSponsoredHolderacknowledgesthatintheeventofthedeathorbankruptcyoftheParticipantSponsoredHolder,aHolderRecordLockwillbeappliedtoallParticipantSponsoredHoldingsinaccordancewiththeASXSettlementOperatingRules,unlesstheParticipantSponsoredHolder’slegallyappointedrepresentativeortrusteeelectstoremovetheParticipantSponsoredHoldingsfromtheCHESSSubregister.

8.7 TheParticipantSponsoredHolderacknowledgesthatintheeventofthedeathoftheParticipantSponsoredHolder,thisSponsorshipAgreementisdeemedtoremaininoperation,inrespectofthelegallyappointedrepresentativeauthorisedtoadministertheParticipantSponsoredHolder’sestate,subjecttotheconsentofthelegallyappointedrepresentative,foraperiodofuptothreecalendarmonthsaftertheremovalofaHolderRecordLockappliedpursuanttoClause8.6.

FORJOINTHOLDINgSONLY

8.8 TheParticipantSponsoredHolderacknowledgesthatintheeventofthedeathofoneoftheHolders,theParticipantshalltransferallHoldingsunderthejointHolderRecordintonewHoldingsunderanewHolderRecord,andthatthisSponsorshipAgreementremainsvalidforthenewHoldingsunderthenewHolderRecord.

8.9 TheParticipantSponsoredHolderacknowledgesthatintheeventofthebankruptcyofoneoftheHolderstheParticipantwill:

(a) unlessthelegallyappointedrepresentativeofthebankruptParticipantSponsoredHolderelectstoremovetheParticipantSponsoredHoldingsfromtheCHESSSubregister,establishanewHolderRecordinthenameofthebankruptParticipantSponsoredHolder,transfertheinterestofthebankruptParticipantSponsoredHolderintonewHoldingsunderthenewHolderRecordandrequestthatASXSettlementapplyaHolderRecordLocktoallHoldingsunderthatHolderRecord;and

(b) establishanewHolderRecordinthename(s)oftheremainingParticipantSponsoredHolder(s)andTransfertheinterestoftheremainingParticipantSponsoredHolder(s)intonewHoldingsunderthenewHolderRecord.

9.0 CHANgEOFCONTROLLINgPARTICIPANT

9.1 IftheParticipantSponsoredHolderreceivesaParticipantChangeNoticefromtheControllingParticipantoftheParticipantSponsoredHoldingandtheParticipantChangeNoticewasreceivedatleast20BusinessDayspriortothedateproposedintheParticipantChangeNoticeforthechangeofControllingParticipant,theParticipantSponsoredHolderisundernoobligationtoagreetothechangeofControllingParticipant,andmaychoosetodoanyofthethingssetoutinclauses9.2or9.3.

9.2 TheParticipantSponsoredHoldermaychoosetoterminatetheAgreementbygivingWithdrawalInstructionsundertheASXSettlementOperatingRulestotheControllingParticipant,indicatingwhethertheParticipantSponsoredHolderwishesto:

(a) transferitsParticipantSponsoredHoldingtoanotherControllingParticipant;or

(b) transferitsParticipantSponsoredHoldingtooneormoreIssuerSponsoredHoldings.

9.3 IftheParticipantSponsoredHolderdoesnottakeanyactiontoterminatetheagreementinaccordancewith9.2above,anddoesnotgiveanyotherinstructionstotheControllingParticipantwhichwouldindicatethattheParticipantSponsoredHolderdoesnotagreetothechangeofControllingParticipantthen,ontheEffectiveDate,

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theAgreementwillhavebeentakentobenovatedtotheNewControllingParticipantandwillbebindingonallpartiesasif,ontheEffectiveDate:

(a) theNewControllingParticipantisapartytotheAgreementinsubstitutionfortheExistingControllingParticipant;

(b) anyrightsoftheExistingControllingParticipantaretransferredtothenewControllingParticipant;and

(c) theExistingControllingParticipantisreleasedbytheParticipantSponsoredHolderfromanyobligationsarisingonoraftertheEffectiveDate.

9.4 Thenovationinclause9.3willnottakeeffectuntiltheParticipantSponsoredHolderhasreceivedanoticefromtheNewControllingParticipantconfirmingthattheNewControllingParticipantconsentstoactingastheControllingParticipantfortheParticipantSponsoredHolder.TheEffectiveDatemayasaresultbelaterthanthedatesetoutintheParticipantChangeNotice.

9.5 TheParticipantSponsoredHolderwillbetakentohaveconsentedtotheeventsreferredtoinclause9.4bythedoingofanyactwhichisconsistentwiththenovationoftheAgreementtotheNewControllingParticipant(forexamplebygivinganinstructiontotheNewControllingParticipant),onoraftertheEffectiveDate,andsuchconsentwillbetakentobegivenasoftheEffectiveDate.

9.6 TheAgreementcontinuesforthebenefitoftheExistingControllingParticipantinrespectofanyrightsandobligationsaccruingbeforetheEffectiveDateand,totheextentthatanylaworprovisionofanyagreementmakesthenovationinclause9.3notbindingoreffectiveontheEffectiveDate,thentheAgreementwillcontinueforthebenefitoftheExistingControllingParticipantuntilsuchtimeasthenovationiseffective,andtheExistingControllingParticipantwillholdthebenefitoftheAgreementontrustfortheNewControllingParticipant.

9.7 Nothinginthisclause9willpreventthecompletionofCHESStransactionsbytheExistingControllingParticipantwheretheobligationtocompletethosetransactionsarisesbeforetheEffectiveDateandtheAgreementwillcontinuetoapplytothecompletionofthosetransactions,notwithstandingthenovationoftheAgreementtotheNewControllingParticipantunderthisclause9.

10.0CLAIMSFORCOMPENSATION

10.1AsaParticipantoftheASXGroupanyclaimforcompensationcanbelodgedwiththeNationalGuaranteeFundwhichoperatesasacompensationarrangementforinvestorswhomaysufferlossduetothedefalcationbyParticipantsinrelationtoequitiesandwarrantsandexchangetradedoptions.

10.2IftheParticipantbreachesaprovisionofthisAgreementandtheParticipantSponsoredHoldermakesaclaimforcompensationpursuanttothatbreach,theabilityoftheParticipanttosatisfythatclaimwilldependonthefinancialcircumstancesoftheParticipant.

10.3IfabreachbyaParticipantofaprovisionofthisAgreementfallswithinthecircumstancesspecifiedunderPart7.5,Division4oftheCorporationsRegulations,aParticipantSponsoredHoldermaymakeaclaimontheNationalGuaranteeFundforcompensation.(FormoreinformationonthecircumstancesinwhichaParticipantSponsoredHoldermaymakeaclaimontheNationalGuaranteeFundorforinformationontheNationalGuaranteeFundgenerally,contacttheSecuritiesExchangeGuaranteeCorporationLimited).

10.4TheParticipantSponsoredHolderacknowledgesthattheParticipantshallnotberequiredtoprovideanexecutedcopyofthisAgreementtotheParticipantSponsoredHolderunlessrequestedbytheParticipantSponsoredHolder.

11.0TERMINATION

11.1SubjecttotheASXSettlementOperatingRules,thisAgreementwillbeterminatedupontheoccurrenceofanyofthefollowingevents:

(a) bynoticeinwritingfromeithertheParticipantSponsoredHolderortheParticipanttotheotherpartytothisAgreement;

(b) upontheParticipantbecominginsolvent;or

(c) upontheterminationorsuspensionoftheParticipant.

(d) uponthegivingofWithdrawalInstructionsbyaParticipantSponsoredHoldertoaControllingParticipantinaccordancewithRule7.1.10(c).

11.2TerminationunderClause11.1(a)willbeeffectiveuponreceiptofNoticebytheotherpartytotheAgreement.

12.0VARIATION

12.1ShouldanyoftheprovisionsinthisAgreementbeinconsistentwiththeprovisionsintheASXSettlementOperatingRules,theParticipantshall,bygivingtheParticipantSponsoredHoldernotlessthanseven(7)BusinessDayswrittenNotice,varytheAgreementtotheextenttowhich,intheParticipant’sreasonableopinion,itisnecessarytoremoveanyinconsistency.

TERMSANDCONDITIONSOFONLINEACCESS

(FORINFORMATIONSERVICESANDINTERNETTRADINg)

InconsiderationoftheParticipantprovidingaccesstotheTradingSiteanditsServicestoYou,Youagreetoabidebythefollowingtermsandconditions:

1.0DEFINITIONSInthesetermsandconditions:

AFSLmeansAustralianFinancialServicesLicence;

AML/CTF LawsmeanstheAnti-MoneyLaunderingandCounter-TerrorismFinancingAct2006(Cth)andsubordinateregulationsasamendedfromtimetotime,andincludesguidelinesandpublicationsproducedbytheAustralianTransactionReportsandAnalysisCentre(orsuccessororganisation)fromtimetotime;

ASIC meanstheAustralianSecurities&InvestmentsCommission;

ASIC Market Integrity RulesmeansthemarketintegrityrulesofASICasamendedfromtimetotime;

ASXmeanstheAustralianSecuritiesExchangeLimitedABN98008624691;

ASX Clear meansASXClearPtyLimitedABN48001314503;

ASX Clear Operating RulesmeanstherulesgoverningtheoperationoftheclearingfacilityoperatedbyASXClearasamendedfromtimetotime;

ASX OperatingRulesmeansthemarketrulesoftheASXasamendedfromtimetotime;

ASX SettlementmeanstheASXSettlementPtyLtdABN49008504532asapprovedastheSecuritiesClearingHouseundertheCorporationsAct;

Business DaymeansadayonwhichbanksareopenforbusinessinSydney,Australia,anddoesnotincludeSaturdays,Sundaysorpublicholidays;

Cash Account meanstheaccountreferredtointheTermsandConditionsCashAccountorYournominatedbankorfinancialinstitutionaccountusedforthesettlementofsecuritiesandpaymentforserviceswhereclearedfundsaretransferredtoandfromYourAccount;

CHESS HoldingmeansanuncertificatedholdingofsecuritiesonasubregisterforthatclassofsecuritiesmaintainedbyASXSettlement;

Cleared funds meansfundsavailableintheCashAccountorYourAccountforthepurposesoftradingandpaymentforservices;

Conditional Order InstructionmeansaninstructionyougivetoustoplaceanorderforaSecurityonthemarket:

(a) whentheTriggeroccurs;and


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(b) atapriceinaccordancewiththeLimit.

Derived InformationmeansanypartoftheInformationoranydataderivedinanywayfromthemanipulationoftheInformationoranypartoftheInformation;

Guaranteed Moneymeansallmoney,obligationsandliabilitiesofanykindofYouthatarenowormayinthefuturebecomedue,owingorpayable,whetheractually,contingentlyorprospectivelytoorfortheaccountoftheParticipant,underorinrelationtothesetermsandconditionsincludingwithoutlimitationonaccountofprincipal,interest,fees,expenses,indemnitypayments,lossesordamages;

Guarantor means,ifYouareacompany,eachdirectorandotherofficerwhosenameisshownontheapplicationformandanypersonwhosubsequentlybecomesGuarantorofYourobligationsinrespectofthesetermsandconditions.Ifthereismorethanone,Guarantormeanseachofthemseparatelyandeverytwoormoreofthemjointly.Guarantorincludessuccessors;

Information meansinformationincluding(butnotlimitedto)stockmarketinformation,news,updates,analyses,dataandresearchmaterialsrelatingtosecuritiestowhichtheParticipanthasaccessfromtimetotime;

Information ProvidersmeanstheAustralianSecuritiesExchangeLimitedanditsrelatedcorporations,andindependentprovidersofnews,researchandreportingservices;

Limitmeanstheminimumpriceatwhichweareinstructedtosell,orthemaximumpriceatwhichweareinstructedtopurchase,theSecurityunderyourConditionalOrderInstruction;

Participant, we,usor our meansAustralianInvestmentExchangeLtdABN71076515930ofGroundFloor,Tower1,201SussexStreet,SydneyNSW2000,aParticipantoftheASXGroupandAustralianFinancialServicesLicenseeNo241400;

Prescribed Requirementmeansarequirementinanylaw,theASXSettlementOperatingRules,ASICMarketIntegrityRules,ASXOperatingRulesortheASXClearOperatingRules;

Proscribed PersonmeansapersonwhoappearstotheParticipanteither:

(a) tobeaproscribedpersonorentityundertheCharteroftheUnitedNationsAct1945(Cth);

(b) tobeinbreachofthelawsofanyjurisdictionrelatingtomoneylaunderingorcounter-terrorism;

(c) toappearinalistofpersonswithwhomdealingsareproscribedbythegovernmentoraregulatoryauthorityofanyjurisdiction;

(d) actonbehalf,orforthebenefitof,apersonlistedinsub-clauses(a)–(c).

Security orsecuritiesincludesfinancialproducts;

Services meansalloranyoftheonlineservices(ortelephonerelatedservicesaccessedthroughtheParticipantcallcentre)providedbytheParticipantfromtimetotime;

STPmeansstraightthroughprocessing,whichreferstotheautomatedprocessingofasecuritiestradethroughASX’stradingplatform,withoutanymanualinterventionorduplicateprocessing;

Terms of IssuehasthesamemeaninggiventoitintheASXOperatingRules;

Trading Limit meansanallowablelimitapprovedbytheParticipantforthepurchasesofapprovedsecuritiesnominatedbytheParticipant;

Trading SitemeanstheinternetsiteaddressnotifiedtoYouthroughwhichaccessisgainedtosharemarkettradingfunctions;

Trading StatushasthesamemeaninggiventoitintheASXOperatingRules;

Triggermeanscriteriathatareacceptabletous,whichyounominateforyourConditionalOrderInstruction,which,whensatisfied,causesustoplaceanorderfortheSecurityonthemarket;

Warrant hasthesamemeaninggiventoitintheASXOperatingRules;

Warrant-IssuerhasthesamemeaninggiventoitintheASXOperatingRules;

Youmeanstheperson,personsorcompanytowhomtheParticipantprovidestheServicesthroughtheTradingSiteandtotheextentrelevant,includesYourauthorisedrepresentative;

Your AccountmeansthesharetradingaccountopenedbyYouwiththeParticipant.

2.0 LIMITEDRIgHTOFACCESS

2.1 IfYouaremorethanoneperson,thenallpersonsarejointlyandseverallyboundbythesetermsandconditions.

2.2 TheParticipantgrantstoYouforYouruseonly,alimitednon-transferable,non-exclusiverighttoaccesstheTradingSiteforthepurposeofusingtheServices.

2.3 YouacknowledgethattheParticipantreservestherighttorefuseanyapplicationtoprovideaccesstotheTradingSiteandtheServicesintheParticipant’sabsolutediscretion.

2.4 YouacknowledgethattheParticipantreservestherighttoterminateorsuspendYouraccesstotheTradingSiteandtheServicesatanytimewithoutpriornoticeif,forexample,wesuspectthat:

(a) YourAccounthasbeenaccessedfraudulently;

(b) YouareaProscribedPerson;

(c) Youhaveattemptedmarketmanipulation;or

(d) Youhavecommittedfraudulent,illegalorunauthoriseddealingsonYourAccount.

Withoutlimitingourrightsunderparagraphs(a)to(d),wemayterminateorsuspendYouraccesstotheTradingSiteandtheServicesforreasonsotherthantheonesmentionedabove.

2.5 YouraccesstotheTradingSiteanduseofServicesaresubjecttotheusualaccessandServicesguidelinesandpoliciesoftheParticipant.

2.6 TheParticipantcompliesatalltimeswithallAustralianlawapplyingtoanyofferofsecuritiesbytheParticipantandanyofferofsecuritiesismadeonlytoAustralianresidents.IfYouarenotanAustralianresident,thentheParticipantmakesnorepresentationwhatsoevertoYouastoanyforeignlawwhichmayapplytotheofferofsecuritiesbytheParticipant.IfYouareinanydoubtastoanyforeignlawapplyingtosecuritiestransactionsbyYouwiththeParticipantthenYoushouldobtainYourownindependentforeignlawlegaladvice.

3.0 SECURITYIDENTIFICATION

3.1 Youwillnominateaconfidentialpassword,Username,orphoneidentificationpassword(collectively‘IndividualUsername’)inorderthatYoumayidentifyYourselftoaccesstheTradingSiteoroverthephoneinordertousetheServices.

3.2 YouandYourauthorisedrepresentative(s)aresolelyresponsiblefortheconfidentialityanduseofYourIndividualUsername.YouwillnotifytheParticipantimmediatelyifYoubecomeawareofanylossortheftorunauthoriseduseofYourIndividualUsernameoranypartthereof.AftersuchnotificationtheParticipantshallassoonasreasonablypossibledisableaccesstotheTradingSiteandServicesforsuchIndividualUsernameandshallissueareplacementIndividualUsernameaccordingly.

3.3 TheParticipantisentitledtoassumethatanyinstructionreceivedcontainingalloranypartoftheIndividualUsernameoriginatesfromYouortheauthorisedrepresentativetowhomtheIndividualUsernameisassignedandthatsuchinstructionisavalidinstructiontoaccesstheServices.TheParticipantisnotobligedtoinquireintothevalidityofanysuchinstructionreceived.

3.4 TheParticipantdeemsthatthepersonusinganIndividualUsernameoranypartofittoaccesstheTradingSiteandtheServicesisthepersontowhomtheIndividualUsernameisassignedto.


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4.0 YOURINSTRUCTIONS

4.1 TheParticipantreservestherightatalltimestodeclinetoacceptYourinstructionswithoutgivinganyreasonorexplanationorpriornoticeif,forexample:

(a) weconsiderthatacceptingtheinstructionwouldnotbeconsistentwithafairandorderlymarket;

(b) itisnotpossibleforustoplaceanorderonthemarket;

(c) webelieveYourinstructionsareambiguous,incompleteorunclear;or

(d)thesecurityissubjecttoatradinghalt.

Withoutlimitingourrightsunderparagraphs(a)to(d),wemaydeclinetoacceptYourinstructionsforreasonsotherthantheonesmentionedabove.

4.2 Withoutlimitationtoclause4.1theParticipantreservestherighttodeclinetoactonYourbehalforacceptYourinstructionswhereYourinstructionsarebelievedbytheParticipanttobeunclear,ambiguousorincomplete.

4.2AYouacknowledgeandagree:

(a) ThatifyouorasignatoryappearstobeaProscribedPerson,thentheParticipantmayimmediatelyrefusetoprocessorcompleteanytransactionordealingofyours;suspendtheprovisionofaproductorservicetoyou;refusetoallowortofacilitateanyofyourassetsheldbyustobeusedordealtwith;refusetomakeanyassetavailabletoyouortoanyotherproscribedpersonorentity;orterminatethesearrangementswithyou.TheParticipantwillbeundernoliabilitytoyouiftheParticipantdoesanyorallofthesethings.TheParticipant’srightsunderthisclauseareinadditiontoallotherrightswhichtheParticipantmayhave.

(b) ThatiftheParticipantexercisesitsrightsundersub-clause4.2A(a),youmustpaytheParticipantanydamages,losses,costsorexpensesthattheParticipantincursinrelationtoanyactiontakenundersub-clause4.2A(a),includingwithoutlimitationadministrativecostsand/orcostsofsaleorpurchaseofanytransactionordealputinplaceforthepurposesofmeetingtheParticipant’sobligationsunderthesetermsandconditions.

4.3 YouauthorisetheParticipanttoacceptinstructionsonYourbehalffromYourauthorisedrepresentative(s)andYouconfirmthatYourauthorisedrepresentative(s)has/havethepowertodothefollowinginYournameandonYourbehalffromtimetotimeto:

(a) giveinstructionstotheParticipantonYourbehalf;and

(b) accesstheTradingSiteandusetheServices.

4.4 YouagreetoratifyandconfirmallactionscarriedoutbytheParticipantontheinstructionsofYourauthorisedrepresentative(s).

4.5 WhenYouaremorethanoneperson,theParticipantmayacceptinstructionsfromoneormoreofYouonbehalfofallofYou.

4.6 YouareresponsibleforfraudulentillegalorunauthoriseddealingsonYourAccountwhichareattributabletoYourconduct,andyoureleaseanddischargeusfromliabilityinthisregardandwillindemnifytheParticipantfromallloss,costsandexpensesarisingfromsuchdealings.

4.7 TheParticipanthastherighttorequestwrittenconfirmationofinstructionsbeforeactingonanyinstructionsfromYouorYourauthorisedrepresentative(s).

4.8 TheParticipantmayassumetheauthenticityofanyinstructionsgivenorpurportedlygivenorally,inwritingorbyelectronicmeans(includinganyelectronicinstructionswhichincludealloranypartofYourIndividualUsername)byYouorYourauthorisedrepresentative(s),orthatanypersonclaimingtobeYourauthorisedrepresentativeisinfactthatperson.TheParticipantisnotobligedtoenquireintoanyofthemattersmentionedinthisconditionandYouauthorisetheParticipanttoactuponsuchinstructionsitreasonablybelievestobeauthentic.

4.9 TheParticipantwilluseitsbestendeavourstoexecuteYourinstructions,buttheParticipantwillnotguaranteethatYourinstructionswillbewhollyorpartiallyexecutedorwillbeexecutedbyacertaintime,because,forexample:

(a) Yourordermayneedtobemanuallyvetted;

(b) thesecuritymaybetoothinlytraded;

(c) thepricefortheLimitmaybetoofarfromthepriceatwhichthesecurityiscurrentlytraded;or

(d)thesecuritymaybesubjecttoatradinghalt.

Withoutlimitingourrightsunderparagraphs(a)to(d),wemaynotexecuteyourinstructionswhollyorpartiallyorbyacertaintimeforreasonsotherthantheonesmentionedabove.

4.10YouauthoriseandappointtheParticipant,eachofitsdirectorsandemployeesasYourattorneytoenterintoanycontractoragreementwithanotherpartyonYourbehalfuponreceivingYourinstructions(suchinstructionsmaybegivenbyYouelectronicallyandacceptedbytheParticipantinaccordancewithclause4.8)todoso.YouacknowledgethatallliabilityforsuchcontractsisYoursalone.YouwillindemnifytheParticipantagainstallloss,expenseoranyotherliabilityinrelationtosuchcontractsoragreements.

4.11YouauthorisetheParticipanttorecordanytelephonecommunicationsbetweenYourself,Yourauthorisedrepresentative(s)andtheParticipant,withorwithoutanaudibletone-warningdevice.YouacknowledgethatanyrecordingistheParticipant’spropertyandthattheParticipantreservestherighttochargeyouacostrecoveryfeeforaccesstoarecording.Youshallrecordallrelevantdetailsofanyconversationyouhavewithus,includingthenameoftheoperatorandthedateandtimeofthecall,andyouacknowledgethattheParticipantwillaskyouforthisinformationwhenyouseekaccesstoarecording.

4.12Incaseofdispute,theParticipant’srecordsofelectronicortelephonecommunicationsorfacsimiletransmissionshallbeconclusiveevidenceofthedetailsofthecommunicationsbyemail,internet,telephoneorfacsimile(asthecasemaybe)betweenYouandtheParticipant.

5.0 ACKNOWLEDgEMENTSANDREPRESENTATIONS

5.1 IfYouareatrusteeoranagent,Youareboundbythesetermsandconditionsasatrusteeoranagent,andpersonally.IfYouareacorporation,thedirectorsarealsoboundbythesetermsandconditions.

5.2 YouwarrantthatYouhavethepowerandtheauthoritytoagreetothesetermsandconditions,andtocarryoutYourobligationsunderthem.IfYouareacorporation,YouwarrantthatYouholdavalidACN,ABNorARBN.

5.3 YouauthorisetheParticipanttoprovideinformationaboutYoutoanyofitsrelatedentitiesandtheirrespectiveofficersandemployees(foraccountingandotherpurposes,includingmarketingfurtherservicestoyou).IfyouhavebeenreferredtotheParticipantbyathirdparty(“Referrer”)fortheParticipanttoprovideYouwithtrading,settlement,clearingorotherservices,YoualsoauthorisetheParticipanttosupplyinformationaboutYou(thattheParticipantmaycollectorholdfromtimetotime)totheReferrer.Theinformationmayinclude,butisnotlimitedto:detailsofordersplacedandtradesenteredintobyYou,othertransactionsconductedbyYouthroughorinconnectionwiththeTradingSite,andotherinformationconcerningYouthattheParticipantmayreceivefromYouruseoftheTradingSiteoranyassociatedwebsite,butexcludingYoursecuritydetails.YouauthorisetheReferrertouseYourinformationtocalculateanycommissionsduetoitfromtheParticipantbasedontradesandservicesenteredintobyYoubytheParticipant,andforusebytheReferrerinmarketingfurtherservicestoYou.

6.0 USEOFINFORMATION

6.1 Youmustnoteitheraloneorinconjunctionwithanyotherperson:

(a) supplyormakeavailableorpermittobesuppliedormadeavailabletheInformationorDerivedInformationtoanythirdperson;


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(b) store,processordealwiththeInformationorDerivedInformationinanywayexceptforYourownpersonaluse;

(c) allowanyunauthorisedpersontogainaccesstotheInformationorDerivedInformation;

(d) usetheInformationorDerivedInformationtoestablish,maintainorprovide(orassistinestablishing,maintainingorproviding)anunauthorisedmarketfortradinginsecurities;orreverseengineeranyprogramsorprotocolsusedinconnectionwiththeInformationorServices.

6.2 YouacknowledgethattheuseoraccessoftheTradingSitewillnotbefreefromanyfault,errorordefectsindesignorengineering.

6.3 Youacknowledgethatthetransmissionspeed,formatorcontentoftheInformationandDerivedInformationmaybechangedwithoutanypriornotice.

6.4 Youacknowledgethat:

(a) theInformationandDerivedInformationhavebeenpreparedanddistributedforgeneralinformationonly,andarewithoutconsiderationtoYouroranyperson’sinvestmentobjectives,financialsituationorparticularneeds;

(b) theInformationandDerivedInformationisnotarecommendationthataparticularcourseofactionissuitableforYouoranyperson;

(c) theInformationandDerivedInformationmaynotbeappropriatetoYouandthatanydecisionmadebyYouisbasedonYourownjudgementoronindependentadvice,butinnocasereliesontheInformationorDerivedInformationoranypartofit;and

(d) theInformationmaybesubjecttoadditionalconditionsimposedbythirdpartydataownersandthirdpartydataproviders.

7.0 FEES

7.1 Youagreetopaysubscriptionfees,royaltychargesandanyotherchargesasspecifiedbytheParticipantfromtimetotime.YoualsoagreetoreimbursetheParticipantforanyfees,taxes,consumptionorvalue-addedtaxoranyotherchargesleviedinrelationtotheServices.TheParticipantreservestherighttovarysuchfeesandcharges,andthemethodofchargingatanytime,withoutpriornotice.

7.2 Ifthegoodsandservicestax(“GST”)hasapplicationtothesupplyofServicesbytheParticipant,theParticipantwillinadditiontoanyamountorconsiderationpayableunderthesetermsandconditions,recoverfromYouanadditionalamountonaccountoftheapplicableGST.

7.3 YouagreethattheParticipantmayreceivecommissionsfromanyotherpartyarisingfromYouruseoftheServicesandtheParticipantisnotobligedtorebatethesecommissionstoYou.

7.4 YouagreethattheParticipantmaypaycommissionsonbrokeragereceivedbytheParticipantfromYoubasedontradesenteredintobyYou.

7.5 YouirrevocablyauthorisetheParticipanttodeductfromanyCashAccountYouhaveestablishedthroughtheParticipant,ordirectdebitbankaccountauthorityprovidedbyYou,suchamountsowingbyYoutotheParticipantorarelatedentityoftheParticipant.

8.0 RELEASE

8.1 YoureleasetheParticipant,theInformationProvidersandtheirrespectiveemployeesandagentsfromanyobligationorliabilityofanykindtoorthroughYouwithrespecttothetransmission,provision,oruseoftheServices,theInformationorDerivedInformationoranypartthereofand,withoutlimitingthegeneralityoftheforegoing,foranydelays,interruptions,errorsoromissionshowsoeveroccasioned,providedthattheParticipanthasactedingoodfaithandwithoutnegligence.

8.2 Tothemaximumextentpermittedbylaw,YouacknowledgethattheParticipant,theInformationProvider,andtheirrespectiveemployeesandagentswillnotbeliabletoYouoranyoneelsefor

anylossordamage,whetherdirectorindirect,special,incidentalorconsequentialoreconomic(includinglossofprofits),whetherornottheParticipantkneworcouldhaveknownofthepossibilityofsuchdamage,wherethatdamagearisesfrom:

(a) delay,interruption,omission,failure,errororfaultintheexecutionofYourinstructions;

(b) delayintheexecutionofYourinstructionsarisingfromareviewofYourinstructionsbytheParticipant;

(c) anyerror,omissions,non-receiptorinvalidityinYourinstructions;

(d) anyfault,error,defectorengineeringoftheTradingSiteortheParticipant’scomputersystems,oranydelay,fault,failureinorlossofaccesstotheTradingSite;and

(e) anycausebeyondthereasonablecontroloftheParticipant,includingbutnotlimitedto,failureofelectronicormechanicalequipmentorcommunicationlines,unauthorisedaccessorlabourproblems.

8.3 TheParticipant,theInformationProvidersandtheirrespectiveemployeesandagentsdonotgiveanyrepresentationsorwarrantiesastotheavailability,accuracy,completeness,currencyorreliabilityoftheInformationorDerivedInformation,ortheresultstobeobtainedfromtheInformationorDerivedInformation;andtheParticipantexpresslydisclaimsallandanyliabilitytoYouoranypersonforanydamageorloss(directorindirect,special,incidentalorconsequentialoreconomic)resultingfromtheuseoforrelianceontheInformationorDerivedInformationoranypartthereofbyYouoranyotherperson.

8.4 Nothinginsub-clauses8.1,8.2,8.3and8.5shallexcludeanyimpliedconditionorwarrantyforyourbenefittheexclusionofwhichwouldcontraveneanystatuteorcauseanypartofthesetermsandconditionstobevoidorinvalid.

8.5 Totheextentpermittedbylaw,anyliabilitytoYouforanyreasonislimitedtotherestorationoftheServicetoYou,butifthatisnotpossibleorappropriate,thentherefundofthefeespaidbyYouinrelationtothesupplyofInformationorDerivedInformationforthemonthinwhichthecauseofliabilityarises.

9.0 INTELLECTUALPROPERTYRIgHTS

9.1 YouacknowledgethatallcopyrightandotherintellectualpropertyrightsofwhatevernatureintheInformationandDerivedInformation,andtheelectronicmeansoftransmissionoftheInformationandDerivedInformation,areandwillremainvestedintheParticipantortheInformationProvidersoranyofthem.YouwillpromptlynotifytheParticipantofanyimproperorunlawfuluseoftheInformationorDerivedInformationorinfringementofanyofthecopyrightorotherintellectualpropertyrightsintheInformationorDerivedInformationthatcomestoYournotice.

10.0VARIATIONANDTERMINATION

10.1YoumayterminateYouraccesstotheTradingSiteandServicesbygivingnotlessthanfive(5)businessdays’writtennoticetotheParticipant.Terminationwillnotaffectanyrightsorobligationsaccruedpriortotermination.

10.2TheParticipantmayterminateYouraccesstotheTradingSiteandServicesatanytimeandwithoutpriornotice,subjecttoalloutstandingobligationsbeingdulydischarged,if,forexample,wesuspectthat:





Withoutlimitingourrightsunderparagraphs(a)to(d),wemayterminateorsuspendYouraccesstotheTradingSiteandthe


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Servicesforreasonsotherthantheonesmentionedabove.

10.3TheParticipantreservestherighttovarythesetermsandconditionsto:

(a) add,changeorremoveanyconcessionsorbenefits;

(b) adoptorimplementanylegalrequirement,decision,recommendation,regulatoryguidanceorstandardofanycourt,tribunal,orombudsmanserviceregulator;

(c) accommodatechangesintheneedsorrequirementsofourclients,suchasnewproductfeaturesorservices;

(d) correcterrors,inconsistencies,inadvertentomissions,inaccuraciesorambiguities;

(e) bringusintolinewithourcompetitors,industryormarketpracticeorbestpracticeinAustraliaoroverseas;or

(f) reflectchangesintechnologyorourprocessesincludingourcomputersystems.

Eachofthechangesinparagraphs(a)to(f)isaseparaterightandthisclauseistobereadasifsuchchangewasaseparatelyexpressedright.

Withoutlimitingourrightsunderparagraphs(a)to(f),wemayfromtimetotimevarychangeanyofthetermsandconditionsforreasonsotherthantheonesmentionedabove(e.g.duetounforeseenevents).

AnyvariationofthesetermsandconditionsshallapplytoalldealingsbetweenYouandtheParticipantonandfromthedayonwhichthevariationtakeseffect.

IftheParticipantvariesthesetermsandconditions,theParticipantwillgivenotlessthanseven(7)daysnoticetoyouatthepostalorelectronicaddresslastnotifiedtotheParticipantbyyou,orattheParticipant’swebsite.

AlsotheParticipantmayuseitsIVRfacilitytonotifyyouofamendment(s),andprovideinformationaboutwhereyoucanaccessfulldetailsoftheamendment(s).

10.4However,theParticipantdoesnotneedtogiveYouadvancenoticewhereanyvariationofthesetermsandconditionsisrequiredtocomplywithaprescribedrequirementorisnecessitatedbyanimmediateneedtorestoreormaintainthesecurityofthesystemorindividualaccounts.

11.0NOTICE

11.1Anynoticegiven,ordemandmadebytheParticipant,maybemadebyfacsimile,bypostorbyemailtothelastnotifiedaddress,facsimilenumberoremailaddressasthecasemaybe.Suchnoticeordemandshallbedeemedtohavebeenreceived:

(a) ifgivenbypostwillbedeemedtohavebeenreceivedonthethirdBusinessDayfollowingposting;

(b) ifgivenbyfacsimile,willbedeemedtohavebeenreceiveduponproductionofatransmissionreportbythemachinefromwhichthefacsimilewassentwhichindicatesthatthefacsimilewassentinitsentiretytothefacsimilenumberoftherecipient;

(c) ifgiventoyouelectronicallywillbedeemedtohavebeenreceivedupondelivery(andadeliveryreportreceivedbyuswillbeconclusiveevidenceofdeliveryevenifthecommunicationisnotopenedbyyou);and

(d) ifgiventouselectronicallywillbedeemedtohavebeenreceiveduponbeingopenedbyus.

12.0 (DELETED)

13.0APPLICABLELAW

13.1ThisAgreementshallbegovernedbythelawsoftheStateofNewSouthWales,andthepartiessubmittothejurisdictionofthatState,buttheParticipantmaycommenceproceedingsinanothercompetentjurisdiction.

14.0 FAIRgOPOLICY

14.1TheParticipantendeavourstoprovideaqualityservicetoallourcustomersatalltimes.Thispolicyisdesignedtoensurethatnoclientisunfairlydisadvantagedbythebehaviourofotherclients.Allfreeaccesstoourwebsiteandotherservicesissubjecttoreasonableusage.Excessiveusageoftheseservicesmaybetothedetrimentofothercustomers.IfatanytimetheParticipantconsidersacustomer’susagetobeunreasonable,theParticipantmaysuspendorrefuseaccesstoourservices.

Examplesofunreasonableuseinclude:

(a) someexternalquoteproductsrefreshpricequoteseveryfivesecondsduringasix-hourtradingday–thistypeofusagemaybeconsideredtobeunreasonable;and

(b) clientscallingexcessivelyforextensivepricequoteinformationonlycancauselengthydelaysforothertelephonecustomers.

Themonitoringofusageensurestheavailabilityofourfreeservicestoallcustomers.

14.2YouacknowledgethatYouhavereadtheParticipant’s“FairGoPolicy”inclause14.1.YouagreethatYouwillaccessandusetheTradingSiteinaccordancewiththeFairGoPolicy(asamendedfromtimetotime).

Inparticular,byaccessingtheTradingSiteYouagreeandacknowledgethat:

(a) allfreeaccesstotheTradingSiteandotherservicesissubjecttoreasonableusage;and

(b) ifatanytimetheParticipantinitsdiscretionconsidersacustomer’susagetobeunreasonable,theParticipantmaysuspendorrefuseaccesstoitsservices,includingtheTradingSite.

15.0SEVERANCE

15.1Ifanypartofanyofthesetermsandconditionsisfoundtobevoidorunenforceableforunfairnessoranyotherreason(forexample,ifacourtorothertribunalorauthoritydeclaresitso),theremainingpartsofthesetermsandconditionswillcontinuetoapplyasifthevoidorunenforceableparthadneverexisted.


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TERMSANDCONDITIONSOFSHARE TRADINgACCOUNTThesetermsandconditionsapplytoYoursharetradingaccountwiththeParticipantinrelationtotheprovisionofstockbrokingexecution,clearing,settlementandotherservicesasofferedbytheParticipantfromtimetotime.

1.0DEFINITIONS

TermswhicharedefinedintheASXSettlementOperatingRuleshavethesamemeaninginthesetermsandconditions.

2.0 gENERAL

2.1 ThesetermsandconditionsapplytoalldealingsbetweenYouandtheParticipantandaresubjecttotheCorporationsAct(includingtheASICMarketIntegrityRules),theRules,procedures,customs,usagesandpracticesoftheASXandASXSettlementasamendedfromtimetotimeandinternationalanddomesticantimoneylaunderingandcounterterrorismlaws.

2.2 YouacknowledgethattheASXhasthepowertocancel,amendorrequirethecancellationoramendmentofmarkettransactionsorcrossingsandaccordinglyYouwillbeboundbyanydecisionrelatingtothecancellationoramendmentofamarkettransactionorcrossing.

2.3 EachdealingisalsosubjecttothetermsoftherelevantconfirmationissuedbytheParticipant,subjecttocorrectionoferrorsandomissions,andtheusualtradingguidelinesandpoliciesoftheParticipant.

TherelevantconfirmationissubjecttoanyapplicablePrescribedRequirement,includingtheASXOperatingRules,theASICMarketIntegrityRulesandtheCorporationsAct.

2.4 EachdealingconductedattheTradingSiteisalsosubjecttotheParticipant’sTermsandConditionsofOnlineAccesssetoutattheTradingSiteatthetimeofdealing,asamendedfromtimetotime.

2.5 IfYouaremorethanoneperson,thenallpersonsarejointlyandseverallyboundbythesetermsandconditions.

Youacknowledgeandagree:

(a) ThatifyouorasignatoryappearstobeaProscribedPerson,thentheParticipantmayimmediatelyrefusetoprocessorcompleteanytransactionordealingofyours;suspendtheprovisionofaproductorservicetoyou;refusetoallowortofacilitateanyofyourassetsheldbyustobeusedordealtwith;refusetomakeanyassetavailabletoyouortoanyotherProscribedPersonorentity;orterminatethesearrangementswithyou.TheParticipantwillbeundernoliabilitytoyouiftheParticipantdoesanyorallofthesethings.TheParticipant’srightsunderthisclauseareinadditiontoallotherrightswhichtheParticipantmayhave;

(b) ThatiftheParticipantexercisesitsrightsundersub-clause2.5(a),youmustpaytheParticipantanydamages,losses,costsorexpensesthattheParticipantincursinrelationtoanyactiontakenundersub-clause2.5(a),includingwithoutlimitationadministrativecostsand/orcostsofsaleorpurchaseofanytransactionordealputinplaceforthepurposesofmeetingtheParticipant’sobligationsunderthesetermsandconditions.

2.6 YouacknowledgethattheParticipantreservestherighttorefuseanyapplicationtoopenasharetradingaccountintheParticipant’sabsolutediscretion.

2.7 YouacknowledgethattheParticipantreservestherighttoterminateorsuspendYourAccountatanytime,withoutpriornotice,if,forexample,wesuspectthat:






2.8 YouagreetoenterintoaCHESSorParticipantSponsorshipAgreementwiththeParticipant.

2.9 YouirrevocablyauthorisetheParticipanttodeductfromanyCashAccountyouhaveestablishedthroughtheParticipantordirectdebitbankaccountauthorityprovidedbyYou,suchamountsowingbyYoutotheParticipantorarelatedentityoftheParticipant.

2.10YouagreeandacknowledgethatallproceedsofYour“Sell”ordersaretobepaidintoYourCashAccountoranybankaccountnominatedandauthorisedbyYouinwritingfromtimetotime.YouirrevocablydirecttheParticipanttodeductfromYourCashAccountfromtimetotimeandtothemaximumextentpermittedbytheCorporationsAct,anyandallamountsowedbyYoutotheParticipantunderorinconnectionwiththesetermsandconditions,includingwithoutlimitationanyamountsduetotheParticipantinrespectofanycosts,fees,expenses,taxesorreimbursements.

2.11YouagreethattheParticipantmayatanytimeandinitsdiscretionrequireYoutotransfertoanewCashAccount(whichincludesanyformofmoneymarketaccount)nominatedorapprovedbytheParticipant.YouirrevocablyauthorisetheParticipanttodoeverythingnecessaryonYourbehalftoarrangeandeffectthetransfertoanynewCashAccount.YouagreethatuponrequestbytheParticipantYouwilldoeverythingnecessarytoeffectanysuchtransfer.Youalsoagreethatthetermsofclause2.9andtherestofthisAgreementwillapplytoanynewCashAccountestablished.

2.12WedonotenterintotradeswithYouonourbehalf,butwemaytradewithYouonbehalfofoneofourrelatedbodiescorporate,ortocloseoutanerrorposition.

3.0 SECURITYIDENTIFICATION

3.1 Youwillnominateaconfidentialpassword,Username,orphoneidentificationpassword(collectively,“IndividualUsername”)inorderthatYoumayidentifyYourselftoaccesstheTradingSiteoroverthephoneinordertousetheServices.

3.2 YouandYourauthorisedrepresentative(s)aresolelyresponsiblefortheconfidentialityanduseofYourIndividualUsername.YouwillnotifytheParticipantimmediatelyifYoubecomeawareofanylossortheftorunauthoriseduseofYourIndividualUsernameoranypartthereof.AftersuchnotificationtheParticipantshallassoonasreasonablypossibledisableaccesstoYourAccountforsuchIndividualUsernameandshallissueareplacementIndividualUsernameaccordingly.

3.3 TheParticipantisentitledtoassumethatanyinstructionreceivedcontainingalloranypartoftheIndividualUsernameoriginatesfromYouortheauthorisedrepresentativetowhomtheIndividualUsernameisassignedandthatsuchinstructionisavalidinstruction.TheParticipantisnotobligedtoinquireintothevalidityofanysuchinstructionreceived.

3.4 TheParticipantdeemsthatthepersonusinganIndividualUsernameoranypartofitwhengivinginstructionsisthepersontowhomtheIndividualUsernameisassignedto.

3.5 YouundertakenottorevealtheIndividualUsername,andnottoallowanyunauthorisedpersontoissueinstructionsonyouraccount.Youwillabidebythefollowing:

• DonottellanyoneyourIndividualUsernameorletanyonefindoutyourIndividualUsername–notevenfamilyorfriends;

• DonotletanyonewatchyouenteryourIndividualUsername;

• IfIndividualUsernamesareadvisedbyletteroremail,theParticipantsuggeststhattheybememorisedassoonastheletterisreceived.Thelettershouldthenbedestroyed.Thisisthesafestpolicy;

• MakeareasonableattempttodisguisetheIndividualUsernamein


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anyrecord–thatis,scramblethedetailsinsuchawaythatotherswillnotbeabletodecode.

TheParticipantisnotliabletoreimburseyouifanunauthorisedtransactionoccursonyouraccountandyouoranyotheruserhavenotmadeareasonableattempttodisguiseanIndividualUsernameortopreventunauthorisedaccesstotheIndividualUsernamerecord.Forexample,theParticipantwillnotconsiderthatareasonableattempthasbeenmadetodisguiseanIndividualUsernameifyouoranyuseronly:

• RecordedtheIndividualUsernameinreverseorder;

• RecordedtheIndividualUsernameasaphonenumberwherenootherphonenumbersarerecorded;

• RecordedtheIndividualUsernameasanumber,prefixedbyatelephoneareacode;

• RecordedtheIndividualUsernameasaseriesofnumbersorwordswithanyofthemearmarked,circledorinsomewayhighlightedtoindicatetheIndividualUsername;

• RecordedtheIndividualUsernamedisguisedasadate(e.g.9/6/63)wherenootherdatesarerecorded;

• RecordedtheIndividualUsernameinaneasilyunderstoodcode(e.g.A=1,B=2etc);

• Self-selectedanIndividualUsernamewhichisanobviouswordornumberoronethatcanbefoundinapurseorwalletorcaneasilybeguessedbysomeoneelse(suchasadateofbirth,middlename,familymember’snameordriver’slicencenumber).

4.1 YOURREPRESENTATIONSANDWARRANTIES

4.2 YouwarrantthatallinformationprovidedbyYouonYourapplicationtoopenasharetradingaccountwiththeParticipantorsuchotherinformationprovidedbyYoufromtimetotime,isaccurateandcomplete,andthattheParticipantmayrelyontheinformationprovidedbyYou.YouwillnotifytheParticipantinwritingwithinfive(5)businessdaysofanychangeintheinformationprovidedbyYou.TheParticipantshallupdatesuchinformationontheParticipant’srecordsassoonasreasonablypossible.

4.3 Youacknowledgethat:

(a)TheParticipantprovidesanexecution,clearingandsettlementserviceonlyanddoesnotgiveanyadviceorrecommendationinrelationtoYourdealings;

(b) TheParticipantdoesnotactonadiscretionarybasisonYourbehalf;

(c) YourelyonYourownjudgement,assessmentorevaluationinviewofYourfinancialsituation,investmentobjectivesandparticularneedsbeforeplacinganyorderwiththeParticipanttobuyorsellanyfinancialproductorgivinganyotherinstruction.

4.3AIfYouareatrusteeoranagent,Youareboundbythesetermsandconditionsasatrusteeoranagent,andpersonally.IfYouareacorporation,thedirectorsarealsoboundbythesetermsandconditions.

4.4 YouwarrantthatYouhavethepowerandtheauthoritytoagreetothesetermsandconditions,andtocarryoutYourobligationsunderthem.IfYouareacorporation,YouwarrantthatYouholdavalidACN,ABNorARBN.

4.5 YouwarrantthatYouareandatalltimeswillbeinapositiontomeetallthecommitmentsandobligationsarisingfromYourdealingswiththeParticipant.

5.0 INSTRUCTIONS

5.1 Wewillonlyactwithintheparametersofyourinstructions.

5.2 TheParticipantreservesatalltimestherighttodeclinetoactonYourbehalforacceptYourinstructionswithoutgivinganyreasonorexplanationorpriornotice,forexample:

(a) unlessYouhavedepositedinadvancewiththeParticipantsufficientclearedfundsinAustraliancurrencytocoverthefullvalueandcostsofany“Buy”ordersandwhensuchfundsarethroughaforeignfinancialinstitution,bywayoftelegraphictransferonly;

(b) wheretheoriginalinstructionismorethan255calendardaysold;or

(c) Forwarrantsanddayonlyorders,onandfromthefollowingbusinessdayfromthedaytheorderorinstructionwasplaced;or

(d) wherethesecurityorotherinvestmentmediumhasbeensubjecttoatradinghaltandYouhavenotreconfirmedYourinstructionafterthehalthasbeenlifted;or

(e) whereYourinstructionsarebelievedbytheParticipanttobeunclear,ambiguousorincomplete;or

(f) whereintheopinionoftheParticipant,Yourinstructionsbreachormaybreachanylaworstatutoryorotherregulatoryrequirements,includingwithoutlimitationanyrulesorregulationsoftheASX;or

(g) wherethebasisofthequotationforthesecurityhaschangedandtheorderhasnotbereconfirmed;or

(h) wheretheASXhaspurgedtheorderfromitstradingsystem;or

(i) wheretheParticipantbelievesthetransactionwouldresultinnochangeofbeneficialownership;or

(j) wheretheParticipantbelievesthetransactionwouldhavetheeffect,orislikelytohavetheeffect,ofcreatingafalseormisleadingappearanceofactivetradinginanysecuritiesorwithrespecttothemarketfor,orthepriceof,anysecurities.

5.2ASellordersmaynotbeacceptedif:

(a) thereareinsufficientunitsavailableforsettlementinyourParticipantSponsoredHoldingssponsoredbyus;or

(b) thereareinsufficientunitsavailableforsettlementinanIssuer-sponsoredholdingquotedbyYou;or

(c) aninvalidShareholderReferenceNumber(SRN)forIssuer-sponsoredstockissupplied;or

(d) morethanonevalidSRNforIssuer-sponsoredstockissupplied;or

(e) ifstockisParticipantSponsoredbyabrokerotherthanus.

5.3 YouauthorisetheParticipanttoacceptinstructionsonYourbehalffromYourauthorisedrepresentatives)andYouconfirmthatYourauthorisedrepresentativehasthepowertodothefollowinginYournameandonYourbehalffromtimetotime:

(a) togiveinstructionstotheParticipantrelatingtoYourAccount;

(b) toacquire,buy,dealwithanddisposeofanyfinancialproduct;

(c) topayorreceivepaymentforanyfinancialproducttransactionsandrelatedexpensesandtogivegoodreceiptanddischargeforthefinancialproduct,proceedsandothermonies;

(d) toexecuteallnecessaryorpropercontractsandotherdocumentsforthecustody,dealingandtransferoffinancialproductandrelatedmatters;and

(e) toexerciseallrightsandprivilegesandperformalldutiesandobligationswhichmaynoworinfutureapplytoYouasaholderoffinancialproduct.

5.4 YouagreetoratifyandconfirmallactionscarriedoutbytheParticipantontheinstructionsofYourauthorisedrepresentative(s).

5.5 WhenYouaremorethanoneperson,theParticipantmayacceptinstructionsfromoneormoreofYouonbehalfofallofYou.

5.6 Youareresponsibleforfraudulent,illegalorunauthoriseddealingsonYourAccountwhichareattributabletoYourconduct,andYoureleaseanddischargeusfromliabilityinthisregardandwillindemnifytheParticipantfromallloss,costsandexpensesarisingfromsuchdealings.


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5.7 TheParticipanthastherighttorequestwrittenconfirmationofinstructionsbeforeactingonanyinstructionsfromYouorYourauthorisedrepresentative(s).

5.8 TheParticipantmayassumetheauthenticityofanyinstructionsgivenorpurportedlygivenorally,inwritingorbyelectronicmeans(includinganyelectronicinstructionswhichincludealloranypartofYourIndividualUsername)byYouorYourauthorisedrepresentative(s),orthatanypersonclaimingtobeYourauthorisedrepresentativeisinfactthatperson.TheParticipantisnotobligedtoenquireintoanyofthemattersmentionedinthisconditionandYouauthorisetheParticipanttoactuponsuchinstructionsbelievedbytheParticipanttobeauthentic.

5.9 TheParticipantwilluseitsbestendeavourstoexecuteYourinstructionsorordersacceptedbytheParticipant,buttheParticipantwillnotguaranteethatYourinstructionswillbewhollyorpartiallyexecutedorwillbeexecutedbyacertaintime.

5.9ATheParticipantwillnotberesponsibleforanylossorliabilityincurredbyyouwheretheParticipantdoesnotreceiveyourinstructionsorwhereanydealingorproposeddealingisinterrupted,unabletobecompletedorunabletotakeplaceduetothefailureofanytelephone,computer,otherelectronicortechnologicalserviceprovidedbyusorthirdparties.

5.9BTheParticipantwillnotberesponsibleforanylossorliabilityincurredbyyouwheretheParticipantisunabletoreceiveoractonyourinstructionsduetocircumstancesbeyondourreasonablecontrole.g.riot,civildisturbance.

5.9CIfYoupurchaseonmarketaholdingofrightsforasecuritythatistradedseparatelytothesecurity,YouacknowledgethatwemayautomaticallyexercisethoserightsonYourbehalfunlessyoutellusnottoexercisethem.

5.9DIfyoupurchaserights,theConfirmationwesendyouwillrequestpaymentofthecostoftherightspurchasedtogetherwiththeapplicationmoney.Ifyoudon’tintendtoexerciseyourrights,youmusttellusbeforesettlementday.Ifyouelecttonotexerciseyourrightsandhavepaidustheapplicationmoney,youmusttellusatleastfivebusinessdayspriortoexpiryandwe’llcredityouraccountwiththeexerciseamount.Ifyoufailtoadviseus,wewillproceedtoexerciseyourrightsandyouwillbeissuedwiththerelevantshares.Wecanonlyexerciseyourrightswhereyouhaveprovideduswithsufficientclearedfunds.

5.10YouacknowledgethatYourordersmaybepurgedfromthemarketsubjecttotherules,procedures,customs,usagesandpracticesoftheASXwithoutnoticetoYou.YoufurtheracknowledgethattheParticipantisnotobligedtonotifyYouofanyorderswhicharepurgedfromthemarket,althoughtheParticipantwillmakeallreasonableendeavourstonotifyYouofsuch.TheParticipantisnotliableifYoudonotreceivenotificationinthisregard.AnorderthatiscancelledorpurgedbytheASXwillnotbereinstatedbytheParticipantwithoutinstructionsfromYou.

5.11YouauthoriseandappointtheParticipant,eachofitsdirectorsandemployeesasYourattorneytoenterintoanycontractoragreementwithanotherpartyonYourbehalfuponreceivingYourinstructions(suchinstructionsmaybegivenbyYouelectronicallyandacceptedbytheParticipantinaccordancewithclause5.9)todoso.YouacknowledgethatallliabilityforsuchcontractsisYoursalone.YouwillindemnifytheParticipantagainstallloss,expenseoranyotherliabilityinrelationtosuchcontractsoragreements.

5.12YouauthorisetheParticipanttorecordanytelephonecommunicationsbetweenYourself,YourauthorisedrepresentativesandtheParticipant,withorwithoutanaudibletone-warningdevice.YouacknowledgethatanyrecordingistheParticipant’spropertyandthattheParticipantreservestherighttochargeyouacostrecoveryfeeforaccesstoarecording.Youshallrecordallrelevantdetailsofanyconversationyouhavewithus,includingthenameoftheoperatorandthedateandtimeofthecall,andyouacknowledgethattheParticipantwillaskyouforthisinformationwhenyouseekaccesstoarecording.

5.13Incaseofdispute,theParticipant’srecordsofelectronicortelephonecommunicationsorfacsimiletransmissionshallbeconclusiveevidenceofthedetailsofthecommunicationsbyemail,Internet,telephoneorfacsimile(asthecasemaybe)betweenYouandtheParticipant.

5.14IfYourequesttheParticipanttoprovideyouwithemailorSMSmessagealerts(“Alerts”),YouagreetobeboundbytheAlertsSubscriptionAgreement&TermsandConditionsofUse,whichsupplementtheseShareTradingAccountTermsandConditions.

5.15YouacknowledgethatyouraccesstoAlertsdependsonfactorsoutsideourcontrol,includinganydisruption,failureormalfunctioninanypartoftheinternetorSMSnetwork.Accessmayalsobelimitedorunavailableduringperiodsofpeakdemand,systemsinterference,damageormaintenance,orforotherreasons.Weacceptnoliabilityifanalertmessageisnotsentornotreceivedforanyreason.

5.16ThefeesandchargesapplicabletoYourAccountcanbelocatedintheParticipant’sFinancialServicesGuideorontheTradingSite.

5.17Whereyouhaveamarginlendingaccount,youacknowledgethatyouareliablefor:

(i) allsettlementobligationsirrespectiveofwhetheryourmarginlenderisabletodeliversufficientsecuritiesorfundstosatisfyyourobligations;

(ii) anyover-soldpositionsonyouraccount;

(iii) paymentofmoniesowingonyouraccountirrespectiveofwhetherthemarginlenderwilladvanceyouthosemonies.

5.18YouacknowledgethattheParticipantisnotresponsibleformissedmarketopportunitiesduringthetimeittakestheParticipanttofollowitsinternalprocedures,forexample,openingaccounts,transferringParticipantSponsoredHoldings,confirmingyouridentity.

5.19

(a) YouacknowledgethattheParticipantwillmakeallreasonableattemptstoenteryourinstructionstobuyorsellsecuritiesasquicklyaspossible.However,shoulddelaysbeexperienced:

(i) inconnectionwiththenumberofParticipantsorpersonsattemptingtoparticipateinthemarketatapointintime;

(ii) duetoverificationorauthorisationprocesses;or,

(iii) duetodelaysresultingfromcallwaitingtimeoradherencetointernalprocedures;theParticipantwillnotbeliableforanyclaimsforlostopportunity.

(b) YouacknowledgethattheParticipantwillmakeallreasonableattemptstoeffectanyinstructionstocanceloramendordersasquicklyaspossible.However,shouldanorderbefilledpriortoacancellationoramendmentinstructionbeingeffectedyouwillbeobligedtoacceptthetransaction(s)ontheoriginalterms.Whilstallreasonableattemptswillbemadetoinformyouwhentheorderisfilledpriortoanamendmentorcancellationinstructionbeingeffected,theParticipantisnotobligedtodoso.

(c) Youacknowledgeandacceptthattheremaybedelaysinprocessingbetweenthetimeanamendmentorcancellationinstructionisdealtwithbyusandthetimetheamendmentorcancellationiseffectedonmarket.Intheeventanorderisfilledbetweenthetimeithasbeen‘approved’bytheParticipantandthetimetheParticipanteffectstheinstructiononmarket,youwillbeobligedtoacceptthetransactionontheoriginalterms.

(d) Ifyouareuncertainastowhetheryourorderhasbeenreceivedyouwillmakeallreasonableattemptstoverifywhethertheorderhasbeenreceived,approvedandeffectedpriortotakinganyfurtheraction.Youagreetoissuespecificcancellationoramendmentinstructionswithrespecttoanexistingorderandnottoattempttoeffectsuchchangesbyplacingasecondorduplicateorder.Youwillbesolelyresponsibleandliableforanyduplicateinstructionthatyouplace.


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(e) YouacknowledgethattheParticipantisnotliabletoyouforanylossyouincurunderasharepurchaseplanduetoasellerorbuyerortheirbrokerfailingtocompleteatransactioninaccordancewiththerulesorproceduresofthemarket,theclearingfacilityorthesettlementfacility.

(f) Ifyoupurchaseonmarketaholdingofrightsforasecuritythatistradedseparatelytothesecurity,youacknowledgethattheParticipantautomaticallyexercisesthoserightsonyourbehalfunlessyoutelltheParticipantnottoexercisethem.

(g) Inthecourseofprocessingasellorderforasecurity,theParticipantmayremoveyourholdingofthesecurityfromtheregisterbeforetheduedateforsettlementundertheASXOperatingRules.

(h) If,initsreasonableopinion,theParticipantbelievesthereisadisputebetweenyouandtheParticipantaboutanorderorinstructionyouhavegiventheParticipant,forexample,thenumberofsharesyouhaveaskedtheParticipanttobuy,orthebidpriceforshares,theParticipantmaytake,withoutpriornoticetoyou,anyactionwhichinitsreasonableopiniontheParticipantconsidersnecessarytocloseanyopenpositionthesubjectofthedispute,forexample,bysellingshares.

(i) Youacknowledgethat,duetomarketconditions,theParticipantmaycompleteyourorderbymultiplemarkettransactionsandyouauthorisetheParticipanttoaccumulatethosetransactionsonasingleconfirmationandspecifythevolumeweightedaveragepriceforthosemarkettransactions.

(j) Youacknowledgethatfromtimetotime,theParticipantmaycompleteyourorder,andtheordersofotherclientsofyouradviser,usingaccumulatedmarkettransactionsandyouauthorisetheParticipanttoallocatethosetransactionsaccordinglyattheaverageexecutionprice.Thisaveragepricewillbereflectedonyourindividualconfirmation.

5.20YouacknowledgeandagreethatweareentitledtocancelorreverseadealingororderwithoutfurtherreferencetoyouwheretheASXhasrecommendedorrequiredcancellationorreversalformarketintegrityreasons,orwherethemarketwasoperatingunderanerror,orwherethecancellationorreversalispermittedundertheASXOperatingRules.

5.21Youacknowledgeandagreethatallordersmustbesubmittedeither‘AtMarket’or‘AtLimit’.AtMarket’orderscannotbeacceptedoutsideofmarkethoursorwhentradinginaparticularstockishalted/suspended.

5.22Youacknowledgeandagreethata“market”orderisanorderplacedateitherthebestbidpricewhensellingsharesoratthebestaskpricewhenbuyingshares.Ifthereisinsufficientvolumetofillyourorderquantity,thentheremainingportionwillremainonthemarketatthispriceasalimitorder.Whenplacingmarketorders,youneedtobeawarethatsomestockscanbevolatile,andthecurrentquotethatyouseemaybedifferentfromthepriceatwhichyourordertransacts.

5.23Youacknowledgeandagreethatan‘AtLimit’orderwillnotbeaccepted,withoutanyadvicetoyou,ifweconsiderthelimitpricetobetoofarawayfromtheprevailingmarketpriceofthatstock.

5.24YouacknowledgeandagreethatallOrderscanbeamendedorcancelledprovidedtheorderhasnotalreadybeenexecuted.

6.0 STRAIgHTTHROUgHPROCESSINg

6.1 TheParticipanthasprovidedYouwithaccesstoSTP.

6.2 YouacknowledgethefollowinginrelationtoYouraccesstoSTP:

(a) anyordersplacedbyYouusingSTPwillneedtomeetfilterssetbytheParticipantfromtimetotime.TheParticipantmayamenditsfiltersfromtimetotimewithoutnotification.TheParticipantisnotrequiredtoinformYouwhatthefiltersare;

(b) thatitispossibleforanorderplacedbyYoutobematchedwithanotherorderalsoplacedbytheParticipant.This‘crossing’

maybewithanorderbyanotherclientoftheParticipant.TheParticipantmayasaresultreceivebrokeragefrombothclients;

(c) thatSTPisonlyavailableon‘limit’ordersforsecuritieswithanormalstatus(i.e.notsuspendedorinatradinghalt)andisoperatedbetweenthehoursof9.30amand4.00p.m.Sydneytime;

(d) AtMarketorderscanonlybeacceptedduringmarkethours(10.00–4.00)Sydneytime,insecuritieswithanormalstatus(i.e.notsuspendedorinatradinghalt).STPisavailableonmarketorders;

(e) IfYourorderdoesnotpassthefilters,thenitwillbereferredtoaDesignatedTradingRepresentative(“DTR”)forevaluation.InsomecasestheDTRhastheauthoritynottoplacetheorderonmarketuntilYoubecomecontactabletoconfirmtheorder.TheParticipantisnotliableforanydelaysinplacingYourorderasaresultorforYourordernotbeingplacedatall;andthattheASX’stradingplatformoperatingscheduledefinesthevariousphasesandatwhattimetheyhappen.YouareawarethatanimportantpointistheOpeningphase,inwhichthemarketopeningtimesarestaggereddependingonthestartingletteroftheASXcode.ASX’stradingplatformwillnotallowinputofordersduringtheseopeningtimes.Thescheduleintheappendixapproximatelydescribesthesevariousphases.

6.3 YouacknowledgethattheParticipant,astradingParticipant,mustensuretheconductofanorderlymarketandpreventmanipulativetrading,includinginsidertrading,falsetrading,marketriggingandsuspecttransactions.ThereforeinutilisingSTPYoushouldrealisethatanordermaybescrutinisedbyboththefiltersandaDTR.

6.4 YouacknowledgethattheParticipantisrequiredtopreventabid,offerordealingifanyclientintendstocreate,ortakingintoaccountthecircumstancesoftheorder,theParticipantreasonablysuspectsthattheclienthasplacedtheorderwiththeintentionofcreatingafalseormisleadingappearanceofactivetradinginanyfinancialproductorwithrespecttothemarketfor,orthepriceofanyfinancialproduct,ormarketriggingormanipulationorsuspecttransactions.YouacknowledgeandagreethattheParticipantreservestherightdeclinetoactonYourbehalforacceptYourinstructionsorprocessanyordersplacedthroughSTPwhereintheopinionoftheParticipant,Yourinstructionsbreachormaybreachanylaworstatutoryorotherregulatoryrequirements(includingwithoutlimitationanyrulesorregulationsoftheASX.)

6.5 TheParticipantreservestherighttoterminateYouraccesstoSTPatanytimeintheParticipant’sabsolutediscretion,if,forexample,YourAccounthashadfrequentfailedsettlements,orwesuspectthat:






7.0 PAYMENTSANDINDEMNITY

7.1 YouwillpaytheParticipantbrokeragefeesandchargesasspecifiedbytheParticipantfromtimetotime;andreimbursetheParticipantforanyfees,taxes,consumptionorvalue-addedtax,stampdutyoranyotherchargesleviedinrelationtoeachtransaction.TheParticipantreservestherighttovarysuchfeesandcharges,andmethodofcharging,atanytimeandwithoutpriornotice.

7.1AIfyousubscribetoaserviceforwhichwechargefeesinarrears,wewillchargethefeeonamonthlybasis.Wewilldebityouraccountattheendofeachcalendarmonth.Thefirstmonthwillbetheperiodfromthedatewhenyousubscribetotheendofthecalendarmonth.

7.2 Ifthegoodsandservicestax(“GST”)hasapplicationtoanysupplymadebytheParticipantunderorinconnectionwithYourAccountwiththeParticipantunderthesetermsandconditions,theParticipant


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willinadditiontoanyamountorconsiderationpayableunderthesetermsandconditions,recoverfromYouanadditionalamountonaccountoftheapplicableGST.

7.3 YouagreethattheParticipantmayreceivecommissionsfromtheissuersoffinancialproductsorfromanyotherpartyarisingfromYouruseofYourAccountandtheParticipantisnotobligedtorebatethesecommissionstoYou.

7.4 YouagreethattheParticipantmaypaycommissionsonbrokeragereceivedbytheParticipantfromYoubasedontradesenteredintobyYou.

7.5 YouacknowledgethatYourordermaybematchedwithanorderorordersofanotherclientoftheParticipant.IfthisoccursYouagreethattheParticipantmayreceivebrokeragefrombothpartiestothetrade.

7.6 YouirrevocablyauthorisetheParticipanttoappropriateanypayments,remittancesorreceiptsfromYouorforYourAccountinsuchmannerandorderofpriorityastheParticipantdeemsfitagainstanyamountsowingbyYoutotheParticipantorarelatedentityoftheParticipant.

7.7 YouwillindemnifytheParticipant,itsdirectorsandemployeesagainstallactions,claims,demandsandproceedings,expensesandlossesincurred,(includinglegalcostsonasolicitorandclientbasis)reasonablyincurred,directlyorindirectly,bytheParticipantasaresultofundertakingorexecutingYourinstructionsorordersoranyfailurebyYoutocomplywiththisAgreement,theCorporationsAct,theASICMarketIntegrityRules,theASXOperatingRules,theASXSettlementOperatingRules,andthecustoms,procedures,usagesorpracticesoftheASX,orYouruseofYourAccountwiththeParticipant.

7.8 Anyexpenses,costsordisbursementsreasonablyincurredbytheParticipantinrecoveringanyoutstandingmoniesfromYouincludingdebtcollectionagencyfeesandsolicitorscostsshallbepaidbyYou.YouindemnifytheParticipantinrespectofallsuchexpenses,costsordisbursements.

7.9 TheParticipantisentitledtoretainanyfinancialproductoramountsduetoYoupendingpaymentofanyamountsduetotheParticipantandtosetoffamountsduetotheParticipantagainstamountsthattheParticipantholdforYouinanyaccount.IfYoufailtomakepaymenttotheParticipant,theParticipanthasagenerallienoverandpowertosellorrealiseanyfinancialproducttheParticipantholdsforYou.

7.10IftheParticipantapprovesaTradingLimittobeappliedtoYouorYourAccount,YoumustensureYouhavesufficientclearedfundsinYourCashAccountatthetimeofthetransactiontosettleyourobligationstotheParticipantorarelatedpartyoftheParticipant.

8.0 FAILURETOSETTLE

8.1 IfyouhaveauthorisedtheParticipanttodirectdebitYourCashAccount,thetransferofclearedfundswilloccuronthedayfollowingthetransaction.Ifthedirectdebitfailsforanyreason,YouwillberequiredtoremitclearedfundsviaBPAY®.

8.2 IfYouhavenotauthorisedtheParticipanttodirectdebitYourCashAccount,Youwillberequiredtohaveclearedfundsavailablepriortoatransactionbeingallowedtoproceed.

8.3 IfYoufailtosettlebysettlementdateforanytransactionarisingfromYourinstructions,YouagreetopaytotheParticipantondemandinterestonanyoutstandingamountarisingfromthefailureatrateequalto5%abovetheCommonwealthBankofAustraliaOverdraftIndexratecalculateddailyfromtheduedatetothedateofpayment.Youalsoagreetopayanyfailfeesarisingfromthefailuretosettle.

8.4 Ifbythesettlementdate,YouhavenotmadefullpaymentsforYourpurchasesorgooddeliveryforYoursales,andademandforpaymenthasbeenmade,thenYouauthorisetheParticipanttosellorbuybackonYourbehalfatYourriskandexpense(includingwithoutlimitation,brokerage,stampdutyandothercosts),anyfinancialproductthatisthesubjectoftheConfirmationoranyfinancialproductoutstandinginYourAccountoranyofYourfinancialproductsintheParticipant’scontrolorpossession(exceptineach

case,sharesintheCommonwealthBankofAustralia)andapplytheproceedsinreductionofYourliabilitytotheParticipantandYouirrevocablyauthorisetheParticipant,eachofitsdirectorsandemployeesasYourattorneytogiveinstructionsaccordingly.

8.5 TheParticipantreservestherighttoreduceorremoveanyTradingLimitifsuchTradingLimitappliestoYouorYourAccount.

8.6 IfYoufailtosettleanytransactionsbythesettlementdate,anyTradingLimitthatmayapplytoYouorYourAccountmaybedowngradedorremovedatthediscretionoftheParticipant.

9.0 OTHERAUTHORITIES&ACKNOWLEDgEMENTS

9.1 YouauthorisetheParticipanttoprovideinformationaboutYoutoanyofitsrelatedentitiesandtheirrespectiveofficersandemployees(foraccountingandotherpurposes,includingmarketingfurtherservicestoyou).IfyouhavebeenreferredtotheParticipantbyathirdparty(“Referrer”)fortheParticipanttoprovideYouwithtrading,settlement,clearingorotherservices,YoualsoauthorisetheParticipanttosupplyinformationaboutYou(thattheParticipantmaycollectorholdfromtimetotime)totheReferrer.Theinformationmayinclude,butisnotlimitedto:detailsofordersplacedandtradesenteredintobyYou,othertransactionsconductedbyYouthroughorinconnectionwiththeTradingSite,andotherinformationconcerningYouthattheParticipantmayreceivefromYouruseoftheTradingSiteoranyassociatedwebsite,butexcludingsecuritydetails.YouauthorisetheReferrertouseYourinformationtocalculateanycommissionsduetoitfromtheParticipantbasedontradesandservicesenteredintobyYoubytheParticipant,andforusebytheReferrerinmarketingfurtherservicestoYou.

9.2 YouauthorisetheParticipanttoprovideinformationaboutYouandYourtransactionstoASX,ASXSettlement,ASICandotherregulatorsasrequiredbyanyofthemfromtimetotime.

9.3 YouauthorisetheParticipanttoproviderelevantinformationaboutYoutoacredit-reportingagencyinrelationtotheestablishmentofYourAccountandinrelationtotherecoveryofanyoverduepayments.

9.4 YouauthorisetheParticipanttodiscloseyourTaxFileNumber(s)orexemptiondetails(ifavailableintheParticipant’srecords)toitsrelatedbodiescorporate,ASXSettlementPtyLtd,trustees,sponsorsofyourshareholdingsandtheiragentsandotherissuersofsecuritiesforpurposesrelatingtothesecuritiesinthetradingaccount.YouacknowledgethatifyoudonotprovideaTaxFileNumberorexemptiondetailstotheParticipant,taxmaybedeductedfromyourdividendsanddistributionsatthehighestmarginaltaxrate(plusMedicareLevy).

9.5 Youconfirmeither:

(a) Youhavereadyaccesstotheinternet,andconsenttoreceivingtheParticipant’sFinancialServicesGuidethroughtheTradingSiteorbyemail;or

(b) YouhaveotherwisereceivedthisFinancialServicesGuideinpersonorbypost,faxoremail.

Ineithercase,YoufurtheracknowledgethatYouhavereadandunderstoodtheParticipant’sFinancialServicesGuidepriortoreceivinganyfinancialservicefromtheParticipantandpriortomakinganydecisiontoinvest.

YoumaycontactusatanytimetorequestthatacopyofourFinancialServicesGuidebesenttoyoubypost,faxoremail.

9.6 YouacknowledgethatYouhavereadandunderstoodtheParticipant’sprivacypolicycontainedontheTradingSite.ByconductingatradethroughtheTradingSiteYouagreeandacknowledgethattheParticipantmaydealwithYourinformationinaccordancewiththeParticipant’sprivacypolicy(asamendedfromtimetotime).

9.7 YouacknowledgethatYouhavereadtheParticipant’s“FairGoPolicy”inclause14.0oftheTermsandConditionsofOnlineAccess.YouagreethatYouwillaccessandusetheTradingSiteinaccordancewith


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theFairGoPolicy(asamendedfromtimetotime).Inparticular,byaccessingtheTradingSiteYouagreeandacknowledgethat:

(a) allfreeaccesstotheTradingSiteandotherservicesissubjecttoreasonableusage;and

(b) ifatanytimetheParticipantinitsdiscretionconsidersacustomer’susagetobeunreasonable,theParticipantmaysuspendorrefuseaccesstoitsservices,includingtheTradingSite.

9.8 IfyouwishtodealinWarrants,Youagreethat:

(a) YouhavereceivedandreadacopyoftheexplanatorybookletissuedbytheAustralianSecuritiesExchangeLimited(theASX)inrespectofWarrants;

(b) YouareawarethataWarranthasalimitedlifeandcannotbetradedafteritsexpirydate;

(c) YouareawarethatWarrantsdonothavestandardisedTermsofIssueandacknowledgethatitisYourresponsibilitytobecomeawareoftheTermsofIssueofanyWarrantinwhichYouchoosetoinvest;

(d) YouareawarethatWarrantsmaybesubjecttoadjustmentsaftertheirinitialissue.YouacknowledgethatitisYourresponsibilitytobecomeawareofanyadjustmentswhichmayhavebeenmadetoanyWarrantinwhichYouchoosetoinvest;

(e) YouareawarethatadmissiontoTradingStatusofaWarrantdoesnotimplythattheASXortheSecuritiesExchangesGuaranteeCorporationsLimitedgivesanyguaranteeorwarrantyastotheviabilityoftheWarrant-IssuerorGuarantor;YouacknowledgethatfailureoftheWarrant-IssuerortheGuarantor(ifapplicable)tofulfiltheirobligationsdoesnotgiverisetoclaimagainstASX,handlingMarketParticipantsortheSecuritiesExchangesGuaranteeCorporationsLimited;

(f) YouacknowledgethataWarrantAgreementFormisrequiredtobecompletedandsignedasaprerequisitetotradinginWarrants.

10.0LIABILITY

10.1YouacknowledgethatthesystemsusedinthemarketorattheParticipantarevulnerabletodisruptionsorfailure,whichmayresultinYourordernotbeingexecutedordelayedaccordingtoYourinstructions.YoureleasetheParticipantfromanyloss,damageorliabilitythatYoumaysufferorincurbyreasonoforinconnectionwithanysuchdisruptionorfailureprovidedthattheParticipanthasactedingoodfaithandwithoutnegligence.

10.2Tothemaximumextentpermittedbylaw,YouacknowledgethattheParticipantwillnotbeliabletoYouoranyoneelseforanylossordamage,whetherdirectorindirect,special,incidentalorconsequentialoreconomic(includinglossofprofits),whetherornottheParticipantkneworcouldhaveknownofthepossibilityofsuchdamage,wherethatdamagearisesfrom:

(a) delay,interruption,omission,failure,errororfaultintheexecutionofYourinstructions;

(b) delayintheexecutionofYourinstructionsarisingfromareviewofYourinstructionsbytheParticipant;

(c) anyerror,omissions,non-receiptorinvalidityinYourinstructions;

(d) anyfault,error,defectorengineeringoftheTradingSiteortheParticipant’scomputersystems,oranydelay,fault,failureinorlossofaccesstotheTradingSite;and

(e) anycausebeyondthereasonablecontroloftheParticipant,includingbutnotlimitedto,failureofelectronicormechanicalequipmentorcommunicationlines,unauthorisedaccessorlabourproblems.

10.3Nothinginsub-clauses10.1,10.2and10.4shallexcludeanyimpliedconditionorwarrantytheexclusionofwhichwouldcontraveneanystatuteorcauseanypartofthesetermsandconditionstobevoidorinvalid.

10.4Tothemaximumextentthatliabilitycanbelimited,YouagreethattheParticipant’sliabilityislimitedtothecostofresupplyingitsservices.

11.0VARIATIONANDTERMINATION

11.1YoumayterminateYourAccountbygivingnotlessthanfive(5)businessdayswrittennoticetotheParticipant,subjecttoalloutstandingobligationsbeingdulydischarged.

11.2TheParticipantmayterminateYourAccountatanytimeandwithoutpriornotice,subjecttoalloutstandingobligationsbeingfullydischarged.

11.3TheParticipantreservestherighttovarythesetermsandconditionsandtheservicestowhichtheyrelateto:

(a) add,changeorremoveanyconcessionsorbenefits;

(b) adoptorimplementanylegalrequirement,decision,recommendation,regulatoryguidanceorstandardofanycourt,tribunal,orombudsmanserviceregulator;

(c) accommodatechangesintheneedsorrequirementsofourclients,suchasnewproductfeaturesorservices;

(d) correcterrors,inconsistencies,inadvertentomissions,inaccuraciesorambiguities;

(e) bringusintolinewithourcompetitors,industryormarketpracticeorbestpracticeinAustraliaoroverseas;or

(f) reflectchangesintechnologyorourprocessesincludingourcomputersystems.

Eachofthechangesinparagraphs(a)to(f)isaseparaterightandthisclauseistobereadasifsuchchangewasaseparatelyexpressedright.

Withoutlimitingourrightsunderparagraphs(a)to(f),wemayfromtimetotimevaryanyofthetermsandconditionsforreasonsotherthantheonesmentionedabove(e.g.duetounforeseenevents).

AnysuchvariationshallapplytoalldealingsbetweenYouandtheParticipantonandfromthedayonwhichthevariationtakeseffect.

IftheParticipantvariestheseterms,conditionsand/orservices,theParticipantwillgivenotlessthanseven(7)daysnoticetoyouatthepostalorelectronicaddresslastnotifiedtotheParticipantbyyou,orattheParticipant’swebsite.

AlsotheParticipantmayuseourIVRfacilitytonotifyyouofamendment(s),andprovideinformationaboutwhereyoucanaccessfulldetailsoftheamendment(s).

11.4However,theParticipantdoesnotneedtogiveYouadvancenoticewhereanyvariationofthesetermsandconditionsisrequiredtocomplywithaprescribedrequirementorisnecessitatedbyanimmediateneedtorestoreormaintainthesecurityofthesystemorindividualaccounts.

12.0NOTICE

12.1Anynoticegiven,ordemandmadebytheParticipant,maybemadebyfacsimile,bypostorbyemailtothelastnotifiedaddress,facsimilenumberoremailaddressasthecasemaybe.Suchnoticeordemandshallbedeemedtohavebeenreceived:

(a) ifgivenbypostwillbedeemedtohavebeenreceivedonthethirdBusinessDayfollowingposting;

(b) ifgivenbyfacsimile,willbedeemedtohavebeenreceiveduponproductionofatransmissionreportbythemachinefromwhichthefacsimilewassentwhichindicatesthatthefacsimilewassentinitsentiretytothefacsimilenumberoftherecipient;

(c) whensentbyemail,onehouraftertheParticipantsendsit;and

(d) ifgiventousbyemailwillbedeemedtohavebeenreceiveduponbeingopenedbyus.

12.2TheParticipantatitsdiscretionmaysendanyConfirmationinrelationtoanytransactiononYourbehalfby:

(i) pre-paidposttoYourlastnotifiedaddress.SuchConfirmationshallbedeemedtohavebeenreceivedonthebusinessdayfollowingposting;or


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(ii) email,facsimiletransmissionorelectronicdatainterchange(includingovertheWorldWideWeb)toYourlastnotifiedemailaddressorfacsimilenumberwhensuchaddressornumberisprovidedbyYou.YouacknowledgethatYouconsenttoreceivingYourConfirmationsbysuchelectroniccommunication.YoufurtheracknowledgethattheconditionssetoutinPart3.4oftheASICMarketIntegrityRulesapplytosuchConfirmations.AnyConfirmationsenttoYoubysuchelectroniccommunicationshallbedeemedtobereceivedonthedayitwassent.

13.0DISPUTERESOLUTION

13.1AnydisputesbetweenYouandtheParticipantwillbereferredtotheFinancialOmbudsmanService(“FOS”)ifthedisputeiswithinthejurisdictionofFOS.IfthedisputeisnotwithinthejurisdictionofFOS,orcannotbesettledthroughitsprocesses,thepartieswillappointamediatorandattendmediationinordertoresolvethedispute.

14.0APPLICABLELAW

14.1ThisAgreementissubjecttothelawsoftheStateofNewSouthWales,andthepartiesagreetosubmittothenon-exclusivejurisdictionofthecourtsofNewSouthWales,buttheParticipantmaycommenceproceedingsinanothercompetentjurisdiction.

15.0gUARANTEE&INDEMNITY

15.1TheGuarantorunconditionallyandirrevocablyguaranteesthepaymenttotheParticipantoftheGuaranteedMoney.

15.2IfYoudonotpaytheGuaranteedMoneyontimeandinaccordancewiththesetermsandconditions,theGuarantoragreestopaytheGuaranteedMoneytotheParticipantondemandfromtheParticipant.

15.3TheParticipantneednotmakeademanduponYoutopaytheGuaranteedMoneyortakeactiontoenforceitsrightsagainstYoubeforetheParticipantclaimsfromtheGuarantor.

15.4TheGuarantormakesthesamedeclarations,agreements,authorisationsandundertakings,andentersintothesameagreementwiththeParticipantasiftheGuarantorwasnamedinthesetermsandconditions.

15.5TheguaranteeinthisclauseisacontinuingobligationandextendstoalloftheGuaranteedMoney.

15.6TheGuarantorunconditionallyandirrevocablyindemnifiestheParticipantandmustpaytheParticipantondemandforanylossorcoststheParticipantsuffersorincursif:

(a) Youdonot,arenotobligedto,orareunableto,paytheParticipanttheGuaranteedMoneyinaccordancewiththesetermsandconditions;or

(b) theGuarantorisnotobligedtopaytheParticipantanamountundertheguaranteeinclause15.1;or

(c) theParticipantisobliged,ortheParticipantagrees,topayanamounttoatrusteeinbankruptcy,liquidatororcontroller(asdefinedintheCorporationsAct)(ortoabankruptpersonorinsolventcompany)inconnectionwithapaymentbytheGuarantororYou.

15.7TheGuarantoracknowledgesthatitisresponsibleformakingitselfawareofYourfinancialposition.

15.8Theindemnityinthisclause15isacontinuingobligation,independentoftheGuarantor’sotherobligationsunderthesetermsandconditions.Itcontinuesevenafterthoseobligationsend.ItisnotnecessaryfortheParticipanttoincurexpensesormakepaymentbeforeenforcingarightofindemnityconferredbythisguaranteeandindemnity.

15.9RightsgiventotheParticipantunderthisguaranteeandindemnityandtheGuarantor’sliabilityunderitarenotaffectedbyanyactoromissionbytheParticipantoranythingelsethatmightotherwiseaffectthemunderlaw.

15.10Underlaw,atrusteeinbankruptcy,aliquidatororacontroller(asdefinedintheCorporationsAct)mayasktheParticipanttorefundapaymenttheParticipanthavereceivedinconnectionwiththesetermsandconditionsorGuaranteedMoney.TotheextentthattheParticipantisobliged,oragrees,tomakearefund,theParticipantmaytreatthepaymentasifithadnotbeenmadetotheParticipant.TheParticipantisthenentitledtoexercisetheirrightsagainsttheGuarantorunderthisguaranteeandindemnityasifthepaymenthadnotbeenmade.ThisappliesdespiteanythinginthisguaranteeandindemnityorthefactthattheGuarantormayhaveendedit.

15.11TheGuarantormustpayallamountsdueundertheguaranteeandindemnityinfullwithoutsettingoffamountstheGuarantorbelievestheParticipantowestoYouortotheGuarantorandwithoutcounterclaimingamountsfromtheParticipant.

15.12AllpaymentstheGuarantormakesmustalsobefreeofanywithholdingordeductionfortaxes,unlessthelawpreventsthis.

15.13TheParticipantmaysetoffanymoneyitowestheGuarantoragainstanymoneytheGuarantorowestheParticipantundertheguaranteeandindemnityinthesetermsandconditions.

16.0COMPLAINTS

(a) Ifyouarenotsatisfiedwiththeserviceoradviceyoureceivefromus,youareentitledtocomplain.Wehaveestablishedprocedurestoensurethatallenquiriesandcomplaintsareproperlyconsideredanddealtwith.

Tosaveyourselfvaluabletime,gatherallthefactsanddocumentsaboutthecomplaint,thinkaboutthequestionsyouwantansweredanddecidewhatyouwantustodo.

(b) YoucancontactusatthetelephoneorfacsimilenumbersprovidedontheTradingSite,oralternativelywritetousat:

ComplaintsOfficerLockedBag3005

AUSTRALIASQUARENSW1215

(c) YoucanobtainacopyofourComplaintsHandlingPolicybycontactingusasdetailedabove.Aresponsewillbepreparedtoensureallmattersyouraiseareinvestigatedandrespondedtofully.

(d) Unlessthereareexceptionalcircumstances,wewillcompleteourinvestigationwithin45daysofreceiptofyourcomplaint.Ifweareunabletoresolveacomplaintwithin45days,wewill:

(i) informyouofthereasonsforthedelay;

(ii) provideyouwithmonthlyupdatesonprogresswiththedispute;and

(iii) specifyadatewhenadecisioncanreasonablybeexpected,unlesswearewaitingforaresponsefromyouwhichwehavetoldyouwerequire.

(e) Ifyouarenotsatisfiedwithourresponseandwishtoproceedfurther,youmayreferthemattertoanindependentcomplainthandlingbody.

TheParticipantisamemberoftheFinancialOmbudsmanService(”FOS”),abodyrecognisedbyASIC.


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(f) Forfurtherinformation,pleasecontactFOSat:

Mail

GPOBox3MelbourneVIC3001

Telephone

1300780808

Facsimile

(03)96136399

Internetwww.fos.org.au

17.0SEVERANCE

17.1Ifanypartofanyofthesetermsandconditionsisfoundtobevoidorunenforceableforunfairnessoranyotherreason(forexample,ifacourtorothertribunalorauthoritydeclaresitso),theremainingpartsofthesetermsandconditionswillcontinuetoapplyasifthevoidorunenforceableparthadneverexisted.


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