Privacy is important to us and to our clients. Ascot Securities Pty Ltd’s compliance with the Federal Governments’ Australian Privacy Principals (APP) ensure that you understand:

  • We maintain a record of your personal information,
  • How we use your information, and
  • To whom we may disclose your information.

In addition it reinforces our commitment to keeping your information up to date and secure.

What types of personal information about me does Ascot Securities Pty Ltd hold?

We collect and hold information about you that is both relevant and necessary in order for us to provide you with financial advice and services. The information we hold depends on the services provided and may include information about your identity, personal objectives, financial position, health, lifestyle and financial plan.

In relation to general advice services your personal needs, circumstances, goals and financial situation are not taken into account. For this reason you should always consider whether the advice is appropriate and seek the professional advice of a financial services professional such as a financial planner.

We will always endeavour to obtain your information directly from you.

How does Ascot Securities Pty Ltd use my personal information?

Our primary purpose in collecting your personal information is to understand your financial and lifestyle goals and provide you with appropriate financial advice (Except in circumstances of general advice).

Where personal advice is required our information is used to develop a statement of advice which provides you with personal advice that takes into account your personal goals and circumstances.

At any time, we may need to appoint another financial adviser, within the Licensee, to manage your financial needs and services. You will be advised of any change to your financial adviser in writing. Your new adviser will be provided access to your information.

We may also use your information to bring to your attention other strategies, services or products that may be relevant to your statement of advice.

Who does Ascot Securities Pty Ltd disclose my personal information to?

Your information is only disclosed to other parties as are necessary for us to provide our services to you. This is done only after we have received your written consent..

In addition, we will disclose your information where we are required to by law.

We will not pass your information to other parties for any purposes other than those for which you have been informed.

How do I get access to the personal information Ascot Securities Pty Ltd holds about me?

You may request access to the information we hold about you by contacting your authorised representative or Ascot Securities Pty Ltd directly. Upon receipt of your request we will endeavour to service your request as fully and as quickly as possible.

In some circumstances access to your information or parts thereof may not be possible. If this is the case we will inform you as to why and, where practicable, make alternative arrangements. Depending on the requirements a fee may be charged to service requests.

How do I make a complaint?

If you are not satisfied with our privacy arrangements, please contact your authorised representative who will seek to resolve your concerns within three working days. If this is not possible, you will be referred the Compliance Manager of Ascot Securities Pty Ltd.

If you are not satisfied with Ascot Securities Pty Ltd’s response to your complaint, you may contact the:


Director of Compliance

Office of the Australian Information Commissioner

GPO Box 5218



Contact Ascot Securities Pty Ltd – Melbourne Office

Address:                Level 8, 530 Little Collins Street,

Melbourne, VIC 3000.

Phone:                  (03) 8686 5788



Contact Ascot Securities Pty Ltd – Sydney Office

Address:                Level 4, 151 Castlereagh Street,

Sydney, NSW 2000.

Phone:                  1300 889 433