Australian Stock Report: Privacy Policy

Australian Stock Report is committed to protecting your privacy and the confidentiality of personal information (e.g. your full name, address, contact details etc) we collect and hold about you. This commitment is fundamental to the way we do business.

Australian Stock Report has systems and procedures in place to protect your privacy whenever we collect, store, use or disclose your personal information. You can request details about the information we hold about you and you have the right to ask us to correct that information.

This Privacy Policy explains our systems and procedures, and provides information on all relevant issues, including how to make a complaint and your rights to access and correct the information we have about you. If you need any part of it explained, please ask.

Privacy Legislation and the Australian Privacy Principles

Australian Stock Report is bound by the Australian Privacy Principles set out in the Privacy Amendment (Private Sector) Act, 2001 and Schedule 1 of the Privacy Amendment (Enhancing Privacy Protection) Act 2012, which amends the Privacy Act 1988.

This Privacy Policy reflects our commitment to those principles.


In this Privacy Policy, a reference to:

  • “ASIC” means the Australian Securities & Investment Commission.
  • “ASX” means Australian Stock Exchange Ltd.
  • “AUSTRAC” means Australian Transaction Reports and Analysis Centre.
  • “Australian Stock Report”, “we”, “our”, and “us” means Australian Stock Report Pty Ltd (ACN: 106 863 978) or any of its employees or Office holders.
  • “Financial Products” means shares, bonds, bank bills, convertible notes, units in managed investment schemes, related derivatives and other equity or debt financial products whether listed or unlisted.
  • “You” and “your” refer to the individual whose information we collect and hold for our purposes.

What sorts of personal information do we collect and hold about you?

As an Australian Financial Services Licensee we are subject to legislative and other regulatory requirements which oblige us to obtain and hold information which personally identifies you.

Personal information about you will usually be collected over the telephone, on-line or during face-to-face interviews.

In general, the nature of personal information collected and maintained, as a minimum, includes name, residential and postal addresses, contact details (including phone numbers, fax and e-mail address) and credit card details.

Your information must be accurate

We take reasonable steps to ensure that your personal information is accurate, complete and up-to-date at the time of collection, use or disclosure. In accordance with commercial practice and to assist us with this, please contact us if any details you have provided change.

How do we use your personal information?

We only collect personal information about you to the extent that it is necessary to perform our services and activities as follows:

  • commencing and maintaining you as a subscriber (i.e. establish your identity)
  • price and design our services
  • administer our services
  • manage our relationship with you
  • manage our risks and help identify and investigate illegal activity, such as fraud
  • contact you, for example if we need to tell you something important
  • comply with our legal obligations and assist government and law enforcement agencies or regulators
  • identify and tell you about other products or services that we think may be of interest to you.

Australian Stock Report may also use your personal information for any secondary related purposes in circumstances where you would reasonably expect this to be the case (e.g. mail-outs of direct marketing material about our products or services that may be of interest to you; facilitating authorised direct credits/debits with your Bank or other financial institution).

If you do not consent to your personal information being used as described above or if you do not provide the personal information requested, this may affect our ability to provide some or any of our advisory or transactional services to you.

If we hold your personal information and we no longer need this for any purpose for which the information may be used or disclosed by us under this Schedule, and the information is not contained in a Commonwealth record, and the we are not required by or under an Australian law, or a court/tribunal order to retain the information, then we must take reasonable steps to destroy the information, or to ensure the information is de-identifed.

Your consent to use and disclosure is important

Subject to what is stated below, personal information is usually used or disclosed only after obtaining your consent. Your consent can be express (i.e. verbal or written) or implied. You imply consent when we can reasonably conclude that you have given consent by some action you take or by not taking some action.

Do we usually disclose information to other organisations or people?

We will not disclose information about you unless:

  • required by law or if requested to do so by any regulatory authority (e.g. ASIC, AUSTRAC, the Courts, Australian Tax Office) which holds the power to order us to disclose information about your account/s);
  • authorised by law (e.g. to protect our interests or where we have a duty to the public to disclose); or
  • you have consented to our disclosing the information about you.

In fulfillment of our services to you, we will be required to disclose your personal information to:

  • Our service providers (such as software providers, delivery companies and mail-houses).
  • Where relevant, your executor, administrator, trustee, guardian or attorney.
  • Entities we use for printing and dispatch of reports, newsletters and other services we provide to you.
  • Credit reference agencies and debt collection agencies where you fail to meet your contractual obligations.
  • Your bank or other financial institutions for direct credits or debits.
  • Your agents, including your legal or financial advisers, or those who have referred you to us.
  • Auditors, external advisers, consultants and other contractors to whom certain functions and activities are contracted. In these circumstances, confidentiality arrangements apply and we prohibit them from using your personal information except for the specific purpose for which it needs to be accessed or supplied.
  • Referrals to internally owned companies and subsidiaries of the Amalgamated Australian Investment Group Ltd including other Licensees.

From time to time we may need to send your information overseas to service providers or other third parties who operate or hold data outside Australia. Where we do this, we take reasonable steps to ensure that appropriate data handling and security arrangements are in place. Please note that Australian law may not apply to some of these entities.

These service providers provide ASR with internal services and are located in the following countries: Atlanta, USA. This information is confidentially disclosed and is not used for marketing purposes. ASR does not sell details and will never disclose your details to an external third party without your consent.

Marketing and Privacy – Do you want to hear about new or current services?

We may contact you from time to time to tell you about new or existing services that may be of interest to you.If you would like to “Opt Out” of receiving updates about our products and services please email address with the subject “Unsubscribe”. Alternatively you can contact the Compliance Manager at Australian Stock Report at any time if you do not want to be contacted or receive marketing material, or if you do not want us to pass information about you to other business units. We will process these directions as soon as practicable.

We do not sell mailing lists. We do not disclose names and addresses to third-parties for the purposes of allowing them to market their products and services to you unless the Australian Stock Report holds a mutual relationship in which we may disclose your name & contact details where it would be reasonably expected by you.

Personal Information Security

Australian Stock Report recognises how important the privacy of your personal information is to you and we undertake to store that information in a secure manner. We will protect personal information from unauthorised access, modification and disclosure; misuse and loss; and (subject to record retention regulations) destroy or permanently de-identify personal information we no longer need.

We train and remind our staff of their obligations with regard to your information.

If we send information overseas or use third parties that handle or store data, we ensure that appropriate data handling and security arrangements are in place.

When you communicate or transact with us on the internet via our website we encrypt data sent from your computer to our systems.

We have firewalls, intrusion detection systems and virus scanning tools to  protect against unauthorised persons and viruses accessing our systems.

When we send your electronic data outside the company we use dedicated secure networks or encryption.

We limit access to your data by requiring use of passwords and/or smartcards.

We have protection in our buildings against unauthorised access such as alarms and smartcard access.

Where practical, we keep information only for as long as required (for example, to meet legal requirements or our internal needs).

How to access the information held by ASR

You may request access to the information we hold about you by contacting your ASR representative or Australian Stock Report 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.

Privacy Complaints

If you are not satisfied with our privacy arrangements, please contact your ASR representative or the Compliance Manager who will seek to resolve your concerns within three working days.

  • Compliance Manager
  • Australian Stock Report
  • Address: Exchange Tower, Level 8, 530 Little Collins Street, Melbourne VIC 3000
  • Phone: 1300 720 292
  • Email:

If you are not satisfied with the ASR response to your complaint, you may contact:

  • Director of Compliance
  • Office of the Australian Information Commissioner
  • GPO Box 5218, SYDNEY NSW 1042


[Last updated on 12 December 2014, 2:30 PM]