Privacy Policy

Specialist Investment Management Pty Ltd (SIML) ABN 55 148 920 138 AFSL 411324 is committed to the protection of any personal information you provide to us. SIML values your trust in us and your personal information will be held in strict confidence.

THE INFORMATION WE COLLECT

Personal information is collected for the purpose of developing and establishing a financial services relationship with you. The information we collect from you will only be the essential information needed for us to effectively perform our services and duties to you. Without your personal details we may not be able to supply these services.

The Corporations Act 2001 (Commonwealth) and general law require that when an investment adviser provides an investment recommendation he or she must have reasonable grounds for making that recommendation. This means the investment adviser must conduct an appropriate investigation of your financial situation and your particular needs and objectives. Any information requested by your financial adviser is necessary to enable them to make recommendations on a reasonable basis and will be used for that purpose.

We will not collect, use or disclose any personal information from you revealing racial or ethnic origin, political opinions, memberships of a political association, religious beliefs or affiliations, philosophical beliefs, memberships of a professional or trade association, membership of a trade union, sexual preferences or practices, criminal record or health information unless:

  • you have given express consent to SIML to do so;
  • there are reasonable grounds to believe that disclosure is necessary to prevent a threat to life or death;
  • the use is authorised by law or reasonably necessary to enforce the law; or
  • the information is necessary for the establishment, exercise or defence of a legal claim.

In the case of Tax File Numbers, if you do not provide us with your Tax File Number on the application form, we are required to forward your tax monies at the highest marginal rate to the Australian Taxation Office.

HOW WE COLLECT INFORMATION

SIML collects your personal information through a variety of ways. This includes, information that you provide to us during meetings, information that you provide to us when you complete application forms, information that you provide to us over the telephone or internet, and information that you provide to us through a third party, such as your financial planner or adviser, accountant or lawyer.

From time to time we may collect the following types of information from our website for statistical purposes:

  • number of users who visit the website;
  • date and time of visits;
  • number of pages viewed;
  • traffic patterns.

To collect this information we use two types of cookies. Firstly, we may use permanent cookies to keep a record of all visits to our website. These cookies do not contain any personally identifying information.

Secondly, we may use session cookies. These cookies are used as a security measure to identify you before allowing you access to your confidential account information.

USE AND DISCLOSURE OF YOUR INFORMATION

The information we collect from you is strictly confidential for use within the SIML group of companies. SIML will not reveal disclose, sell, distribute, rent, licence, share or pass that information on to any third parties, other than: if you have consented to the disclosure; to service providers contracted to Kennedy Partners under strict confidentiality clauses; or other market operators, clearers and product operators for the purpose, giving effect to your instructions. Disclosure to service providers may be necessary for the provision of our services to you.

SIML may use your personal information for marketing purposes. If you wish to remove your name from our marketing mailing list please contact us on 02 9251 0026 or write to us at:

SIML
PO Box R370,
Royal Exchange, NSW, 1225

We will take reasonable steps to ensure that all information we collect, use or disclose is accurate, complete, up-to-date and stored in a secure environment that is accessible only by authorised personnel. Please assist us to keep your details up-to-date and advise us if any information appears inaccurate.

If you cease to be a client of the SIML group of companies, we may keep our records about you, including your personal information, for approximately seven years in order to comply with the legislative requirements. After that, we may destroy those records.

If we do not agree that your personal information requires correcting, we must (if you request) take reasonable steps to ensure that whenever your personal information is later accessed or handled, it is not apparent that you are not satisfied as to the accuracy or completeness of that information.

ACCESS TO YOUR PERSONAL INFORMATION

You may access at any time any personal information that SIML holds about you. Exceptions to this include:

  • if providing access will pose a serious threat to life or health of any individual or pose an unreasonable impact on the privacy of an individual;
  • the request for access is frivolous or vexatious;
  • providing access would reveal our intentions in relation to negotiations with you in such a way as to prejudice our position in those negotiations;
  • if the information relates to existing legal proceedings between SIML and you and the information would not be discoverable in the process of those legal proceedings; or
  • if providing access would be unlawful, may prejudice an investigation of possible unlawful activity, may prejudice enforcement of laws, or denying access is specifically authorised by law.

If SIML does not allow you access to your personal information, we will provide you with reasons for our decision.

To access information that is held about you please contact the Privacy Officer. If you wish to complain about a breach or potential breach of this privacy policy or the National Privacy Principles, you should direct your complaint to the Privacy Officer. We will try to resolve your complaint as soon as possible, but if you are unhappy with our response, you may contact the Office of the Australian Information Commissioner who may assist you further. The SIML Privacy Officer may be contacted 9am-5pm Monday-Friday, except public holidays on 02 9251 0026 or write to SIML at:

Privacy Officer
Specialist Investment Management Pty Ltd
PO Box R370,
Royal Exchange, NSW, 1225

For further information on Privacy, please visit the Office of the Australian Information Commissioner’s website at www.oaic.gov.au.

© 2017 - Specialist Investment Management Pty Ltd (SIML)